Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Tantillo and Mary Tantillo JTWROS, and Mary E. Tantillo IRA, Claimants v. Brandon T. York, Dorothy J. Gorton and Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondents Case Number: 05-00797 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: James and Mary Tantillo Milp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joan Levin, Claimant v. Wedbush Morgan Securities, Inc., Respondent Case Number: 05-00794 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Richard A. Stephens, Esq. Attorney at Law Boca Raton, Florida For Respondent: Stephen Young, Esq. Audette Paul Morales, Esq. Keesal, Young and Logan Long

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Marie Diana (Claimant) vs. Advest, Inc. and Edward Carlsen, Sr. (Respondents) Case Number: 05-00784 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Marie Diana ("Diana") hereinafter referred to as "Claimant": Kevin Szanyi, Esq., and Michael P. McClaren, Esq., Webster Szanyi LLP, Buffalo, NY. Resp

Revised Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant ' John Edward Hoch Name of the Respondent Wachovia Securities, LLC age Number' 05-00777 Hearing Site- Philadelphia, PA Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant, John Edward Hoch, hereinafter referred to as "Claimant", was represented by Thomas J. Momjian, Esq., Coss & Momjian, LLP,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: of th p H*"™ 1 " 1 ** Ow NMrpb PT " 05-00759 Kyle and Nancy McCard; Kyle McCard, IRA; and, Nancy McCard, IRA Nam^flffo^J^sppfldffntF H p flrinE Sitf Des Moines, Iowa. UBS Financial Services Inc. and Trevor Lynn Shaner NATfTftfl Op pTSPTITF Public Customers v. Member Firm and Associated Person Claimants Kyle and Nancy McCard; Ky

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Zanes, Claimant v. Quick & Reilly, Inc. n/k/a Bane of America Investment Services, Inc., and David Sorensen, Respondents Case Number: 05-00746 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Edward A. Lawson, Esq. Lawson & Laski, PLLC Ketchum, Idaho For Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Madril and Danielle Madril JT and Danielle Madril (Claimants) vs. Morgan Stanley & Co., Incorporated and Paul Lawrence Fowler (Respondents) Case Number: 05-00745 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants John Madril and Danielle Madril JT ("Madril") and Danielle Madril ("D. Madril")

NASD D15FUTE RESOLUTION AWARD NASD DISPUTE ABSOLUTION CASE: 05-00740 Veral A. Terry and Dowjfehy L. Terry, (QaimflBts) v& Michael Saylor and Edward D. Jonas & Co., (Respondents) ATrOBNHYS: For Claimants appeared Leslie J. Peters, Esq., Metropolis, IL, For Respondents eppfflared David J, Simmons, Esq., of the firm GreensfeMer, Heraker & Gale, P.C^Stlxmi^MO. NATORE OF DISPUTE; Customer v. Member and Associated Person BATE FILED: February 3, 2005

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00739 UBS Financial Services Inc., (Claimant) vs. Eugene Spiegel, (Respondent) ATTORNEYS: For Claimant appeared Laura Martin, Esq., of the firm Davidson & Grannum, LLP, Northvale, NJ. Respondent appeared pro se, Atlanta, GA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 8,2005 CASE SUMMARY: Claimant alleged that Respondent has breached the terms an Employment

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dr. Kenneth A. Barton, (Claimant) vs. Cohig & Associates, Inc. a/k/a Global Capital Securities Corporation, Lawrence Jack Vink, and Troy Melton Peters, (Respondents) Case Number: 01-00484 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Dr. Kenneth A. Barton, hereinafter referred to as "Claimant": Richard D. DeVita, Esq., DeVita & Associates, Hoboken, NJ. C