NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08853 Howard Wilkinson, (Claimant) vs. E*Trade Securities LLC, (Respondent) ATTORNEYS: Claimant appeared pro se, Desert Hills, AZ. For Respondent appeared Tom Delany, in-house counsel, E*Trade Securities LLC, Rancho Cordova, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: December 27, 2004 CASE SUMMARY: Claimant alleged that Respondent refused to pay the special dividend on

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Strand, Atkinson, Williams & York, Inc., Claimant v. Linda S. Green, Respondent Linda S. Green, Counter-Claimant v. Strand, Atkinson, Williams & York, Inc., Counter- Respondent Case Number: 04-08852 Hearing Site: Portland, Oregon Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent Strand

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeanne San Fanandre and Craig Justin TTEE for San Fanandre Justin Arch PC PSP (Claimant) v. Wachovia Securities, LLC (Respondent) Case Number: 04-08849 Hearing Site: New York City, New York Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant Jeanne San Fanandre and Craig Justin TTEE for San Fanandre Justin Arch PC PSP, ("San Fanandre Justin"), hereinafte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rose Marie Simak, as Executrix of The Estate of Frances Rose Nardillo (Claimant) vs. Nationwide Securities d/b/a Nationwide Advisory Services, Inc., and Francis J. Sherman (Respondents) Case Number: 04-08841 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Rose Marie Simak, as Executrix of The Estate of Fran

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08820 David Lemer Associates, (Claimant) vs. Brendan Goodrich, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Thomas J. Ruhle, Jr., Syosset, NY. Respondent appeared pro se, Durham, CT. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: December 30, 2004 CASE SUMMARY: Claimant alleged that Respondent breached the terms of an Account Executive Agreement by faili

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claimant Ca.^ Number 04-08817 Mary Davis and Donna Jean Prior NRTTIP; of thp ftpgpnnHeriT Hearing Site: St. Louis, Missouri A.G. Edwards & Sons, Inc. NATTTRF OF TTF Public Customers v. Member Firm < "> Claimants Mary Davis ("Davis") and Donna Jean Prior ("Prior**), hereinafter collectively referred to as "Claimants": Donald J. Mehan, Esq. of the firm of Moline, Shostak &

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00425 Thomas Leahy, claimant vs. J.W. Barclay & Co. and John Bruno, respondents. ATTORNEYS: Claimant appeared Pro Se, Las Vegas, NV. For Respondents appeared John Bruno, President, Woodbridge, NJ. DATE FILED: January 26, 2001 CASE SUMMARY: Claimant alleged that respondents failed to timely execute the transfer of his account, thereby causing a loss. COUNTERCLAIM: Respondent in i

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08815 Ryan Beck & Co. (Claimant) v. Robert Aragon (Respondent) ATTORNEYS: For Claimant Ryan Beck & Co. ("Claimant") appeared Jeffrey Cohen, Esq., in-house counsel, Ryan Beck & Co., Livingston, NJ. Respondent Robert Aragon ("Respondent") did not submit a Statement of Answer in this matter. NATURE OF DISPUTE: Member vs. Customer. DATE FILED: December 31, 2004. CASE SUMMARY: Claimant al

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Rose Cirrincione and 04-08807 Chicago, Illinois Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Salvatore Frank Guagliardo Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Rose Cirrincione ("Claimant") was represented by Steven B. Nagler, Esq., Northbrook, Illinois. Merrill Lynch Pierce Fenn

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Thomas Whalen and Case Number: 04-08806 Hearing Site: Oklahoma City, Oklahoma Name of Respondent . UBS Financial Services, Inc., f/k/a UBS PaineWebber, Inc. NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES Thomas Whalen {"Claimant") was represented by Charles Hunter, Esq., Woska & Hayes, LLP, Kingwood, Texas. \ i * '• ' '