NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00738 Curtis J. Glasgow, Jr. and Mary H. Glasgow, (Claimants) vs. Bane of America Investment Services, Inc. and Molly Scovel, (Respondents) ATTORNEYS: ~ ~~ " ~ ~~~ Claimants appeared pro se, Lebanon, TN. For Respondents appeared in-house counsel, Matthew S. Diggins, Esq., New York, NY. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: February 8, 2005 CASE SUMM

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tucker Elizabeth Ramsay, Individually and as Trustee for the Tucker Elizabeth Ramsay Trust Dated 10/21/97, Claimants v. UBS Financial Services Inc. (formerly UBS PaineWebber, Inc.) and Michael Patrick Boylan, Respondents Case Number: 05-00735 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For Cl

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00723 Sky Capital LLC, (Claimant) vs. Andrew K. Matteson, (Respondent) ATTORNEYS: For Claimant appeared Sarah M. Yoho, Esq., of the firm Steel, Hector & Davis LLP, West Palm Beach, FL. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 8, 2005 CASE SUMMARY: Claimant alleged that Respondent breached a cont

NASD DISPUTE RESOLUTION AWARD HASP DISPUTE RESOLUTION CASE: 05-00716 Robert Brisliri, (Claimant) vs. A.G. Edwards & Sons, Inc., (Respondent) ATTORNEYS: For Claimant ^jpeared Debra Brewer Hayes, Esq., of the firm Woska & Hayes., LIP, Kingwood, TX. For Respondents appeared in-house counsel, Nancy Anderson Tayborn, Esq., St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: February 4,2005 CASE SUMMARY: Claimant alleged thai Respond

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00715 Donald E. Crotts, (Claimant) vs. PFS investments, Inc., (Respondent) ATTORNEYS: For Claimant appeared Debra Brewer Hayes, Esq., of the firm Woska & Hayes, LLP, Kingwood, TX. For Respondent appeared Lindsey R. Trowell, Esq., of the firm Fowler White Boggs Banker, P.A., Tampa, FL. NATURE OF DISPUTE: Customer vs. Member DATE FILED: February 4, 2005 CASE SUMMARY: Claimant alleg

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00714 Jack and Modelle West, (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., (Respondent) ATTORNEYS: For Claimants appeared Debra Brewer Hayes, of the firm Woska & Hayes, LLP, Kingwood, TX. For Respondent appeared in-house counsel David E. Bamberger, Esq., New York, NY. NATURE OF DISPUTE: Customers v. Member DATE FILED: February 3, 2005 CASE SUMMARY: Claimants alleged th

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lona and Jimmy Brown (Claimants) v Morgan Stanley Dean Witter, Inc. (Respondent) Case Number: 05-00690 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Lona and Jimmy Brown ("J. Brown"), hereinafter collectively referred to as "Claimants": Celeste M. Chiaramonte, Esq., Woska & Hayes, LLP, Kingwood, TX

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00684 National Securities Corporation, (Claimant) vs. William Jones, (Respondent) ATTORNEYS: For Claimant appeared Michael S. Colombo, President and CEO of Street Wide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent appeared pro se, Plainfield, NJ. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 3,2005 CASE SUMMARY: Claimant alleged that Respondent breached

Award NASD Dispute Resolution In the Matter of the Arbitration Between: GKN Securities, Inc. (Claimant) vs. Michael Philip Eaton, (Respondent) Case Number: 01-00469 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, GKN Securities, Inc. ("GKN"), hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, Cranford, NJ. Respondent, Michael Philip Eaton ("Eaton"), hereinafter referred to as "Respondent" appeared pro se

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Procopion (Claimant) vs. Instinct Group Incorporated (Respondent) Case Number: 05-00683 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Non-Member. REPRESENTATION OF PARTIES Claimant John Procopion hereinafter referred to as "Claimant": William M. Pinzler, Esq., New York, NY. Respondent Instinct Group Incorporated hereinafter referred to as "Re