NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00580 Duane Mattison and Sharon Mattison (Claimants) v. Ferris, Baker, Watts, Inc. and Charles Holton (Respondents) ATTORNEYS: For Claimants Duane Mattison and Sharon Mattison (collectively "Claimants") appeared Lee Edelson, BLS Legal Services Corp., Brooklyn, NY. For Respondents Ferris, Baker, Watts, Inc. and Charles Holton (collectively "Respondents") appeared Dana S. Gloor, Esq., in-h

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant David Cope v. 05-00575 Denver, Colorado Respondents Multi-Financial Securities Corporation, Geneos Wealth Management, Inc., Dorothy Mechtenberg, and Mechtenberg Financial Group, Inc. Nature of Dispute: Customer v. Members, Associated Person and Non-Member REPRESENTATION OF PARTIES David Cope ("Claimant") was represented by Andrew J. Petrie, Esq., and

CASE: 05-00567 Steven Craig Novotny, (Claimant) vs. Bane One Securities Corporation, Daniel Robert Deegan, Kenyon A, Warren, Jerry Allen MJadeoik. Chad Carroll, and Lee McComull, (Respondents) ATTORNEYS: ""^ ; ~~ ' Claimant appeared pro ae, Scottsdale* AZ. For Respondents appeared Marc H. Feldmaa, Esq., of the firm Uhncr & Bcnie LLP. Cleveland, NATURE OF DISPUTE: Associated Person v. Member and Associated Persons DATE FILED: January 3D, 2005 CASE SUMMAR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thf* CUmmmtu ' rW KhimK^r- 05-00559 Carolyn Hunter Dickerson Revocable; Tnist Carolyn Hunter Dickerson, Individually and as Trustee for the Carolyn Hunter Dickerson Revocable Trust nf flip RpgpfHiHRntg Hparing Site- Raleigh, North Carolina RBC Centura Securities, Inc. Carlo Walter Oldani Nature of the Dispute: Customers vs. Member and Associated Person. RF.PttF.Sff.NT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Marianne S. Machost, Individually and as Trustee for David E. Smith Family Trust Names of the Respondents Securities Services Network, Inc. The Planning Group, Ltd. Dennis Joseph Damiens, Jr. Case Number: 05-00554 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REP RESENTAJI

Award NASD Dispute Resolution In tibe Matter of the Arbitration Between: Diane E. Cannon and Neil F. Cannon (Claimants) vs. Sicor Securities, Inc. (Respondent) Case Number: 05-00540 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Diane E. Cannon ("D. Cannon") Neil F. Cannon ("N. Cannon"), hereinafter collectively referred to as "Claimants": Peter F. Von Meister, Esq., Green & Green, Dayton,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00539 Timothy Weddle Goad, (Claimant) vs. Ameritrade, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Fayetteville, NC. For Respondent appeared in-house counsel James. V. Vihstadt, Esq., Omaha, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: January 24, 2005 CASE SUMMARY: Claimant alleged that Respondent misrepresented and omitted material facts regarding his investmen

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 01-00460 Patricia Dillon Names of Respondents Hearing Site: Boca Raton, Florida Dean Witter Reynolds, Inc. Scott Hanawalt REPRESENTATION OF PARTIES For Patricia Dillon ("Dillon"), hereinafter referred to as "Claimant": Lance P. Richard, Esq., Kohl & Richard, P.A., Stuart, Florida For Dean Witter Reynolds, Inc. ("DWI") and Scott Ha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: . - - . • • i Patty F. Haas (Claimant) vs. J.J.B. Hilliard, W.L. Lyons, Inc. (Respondent) Case Number: 05-00535 Hearing Site: Columbus, Ohio Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Patty F. Haas hereinafter referred to as "Claimant": Leslie P. Poole, Esq. and John S. Anderson, Esq., Bellows and Bellows, P.C., Chicago,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00534 Symetra Investment Services, (Claimant) vs. Brian Methvin, (Respondent) ATTORNEYS: ~~ For Claimant appeared Shannon L. McDougald, of the fiim Perkins Coie, LLP, Seattle, WA. Respondent appeared pro se, Sherwood, OR. NATUREOF DISPUTE: Member v. Associated Person DATE FILED: January 27,2005 CASE SUMMARY: Claimant alleged that Respondent breached their contract by failing to repay