NASD DISPUTE RESOLUTION AWARD NASP DISPUTE RESOLUTION CASE: 05-01896 Craig Stephen Comeaux and Catherine Searcy Comeaux, (Claimants) vs. Charles Schwab & Co r Itic., (Respondent) ATTORNEY'S: Claimants appeared pro se, San Antonio, TX. For Respondent appeared in-house counsel Sean B- Meehan, Esq., San Francisco, CA. NATURE OF DISPUTE: Customers vs. Member DATE FILED: April 6,2005 CASE SUMMARY: Claimants alleged that Respondent breached, the c

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Keith Jennings, Claimant v. Louis Michael Nolfo, Respondent Case Number: 05-01888 Hearing Site: San Francisco. California Nature of the Dispute: Customer v. Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Attorney at Law Novato, California For Respondent: Neil S. Baritz, Esq. Baritz & Colman LLP Boca Raton, Florida CASE INFORMAT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Janet Cox, Claimant, Case Number: 05-01886 Hearing Site: St. Louis, Missouri v. Edward D. Jones & Co. and Donna J. Domian, Respondents. Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Janet Cox ("Cox"), hereinafter referred to as "Claimant": John A. Dienner, HI, Esq. of the law firm Kubasiak, Fylstra, Reizen & Rotunno, P

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Lawrence A. Jones and 01-00526 Denver, Colorado Name of Respondents Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc. James J. Mazzarisi Todd E. Leake REPRESENTATION OF PARTIES Lawrence A. Jones ("Claimant") appeared pro se. Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc. ("Respondent MSDW"), James J. Mazzarisi ("Respondent M

&ASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01871 John J. Patino, (Claimant) vs. H&R Block Financial Advisors, Inc., (Respondent) ATTORNEYS: " Claimant appeared pro se, Warren, ML For Respondent appeared in-house counsel, Lisa S. Fildes, Esq., Detroit, ML NATURE OF DISPUTE: Customer vs. Member DATE FILED: April 6, 2005 CASE SUMMARY: Claimant alleged that Respondent gave him poor recommendations regarding the sale of his Apple

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01870 Gussie Ann Savoca, (Claimant) vs. Wachovia Securities, LLC and John Kevin Lynch, (Respondents) ATTORNEYS: For Claimant appeared Jill Gross, Esq., of John Jay Legal Services, Inc., White Plains, NY. For Respondents appeared Derek C. Anderson, Esq., of the firm Michaels & Ward, LLP, Boston, MA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 6, 2

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01869 S. Spencer Grin, IRA, (Claimant) vs. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Delray Beach, FL. For Respondent appeared in-house counsel, Rebecca J. Nelson, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: April 6, 2005 CASE SUMMARY: Claimant alleged that Respondent made an unauthor

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01863 Robert A. Roth, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Incorporated, (Respondent) ATTORNEYS: For Claimant appeared Anthony Hearn, Yardville, NJ. For Respondent appeared in-house counsel Stuart T. Rebish, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: April 6, 2005 CASE SUMMARY: Claimant alleged that Respondent made unauthorized trades in h

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claire Germano (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc., and John Crooks (Respondents) Case Number: 05-01858 Hearing Site: Boston, Massachusetts Nature of the Dispute: Initial Claim: Customer vs. Member and Associated Person. Cross-Claim: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant Claire Germano hereinafter referred to as "Claimant": Kevi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the rljrimant f!agfi Number- 05-01839 Mark A. Kockler Name nf th^ PfgpnnHfint Hearing Ritp- Washington, D.C. McLean Securities, LLC Nature of the Dispute: Associated Person vs. Member. RFPRFSFNTATTON OF PARTTRS Claimant, Mark A. Kockler, hereinafter referred to as "Claimant", was not represented by counsel and appeared pro se. Respondent, McLean Securities, LLC,