AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wilbanks Securities, Inc. and Case Number: 04-08112 Hearing Site: Oklahoma City, Oklahoma Name of Respondent Donald Ray McFariand NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Wilbanks Securities, Inc. ("Wilbanks" or "Claimant") was represented by Stephen A. Zrenda, Jr., Esq., Oklahoma City, Oklahoma. Donald Ray

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Evelyn Smiles, Claimant v. A.G. Edwards & Sons, Inc., Respondent Case Number: 04-08110 Hearing Site: Los Angeles, California _. —-Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Paul W. Thomas, Esq. Law Offices of Paul W. Thomas & Associates Carlsbad, California For Respondent: Michael Naccarato, Esq. A.G. Edwards & Sons, Inc. St

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wexford Clearing Services Corporation and Prudential Securities, Inc., (Claimants) vs. Madison Capital Markets Corporation and Larry Zelin, (Respondents) Case Number: 01-00372 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Wexford Clearing Services Corporation ("Wexford") and Prudential Securities, Inc. ("Prudential")* hereinafter collectively referred to as "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Kaye Strickland-Perez Names of the Respondents Stephen Williams Raymond James Financial Services, Inc. Edward Jones and Company American Skandia Marketing, Inc. Case Number: 04-08106 Hearing Site: Birmingham, Alabama Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Kaye Strickland-Perez ("Str

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08098 Hunter Securities Corp. (Claimant) v. A.G. Edwards & Sons, Inc. (Respondent) ATTORNEYS: For Claimant Hunter Securities Corp. ("Claimant") appeared Stephen A. Steglitz, Hunter Securities Corp., Maplewood, NJ. For Respondent A.G. Edwards & Sons, Inc. ("Respondent") appeared Brent J. Burtin, Esq., in- house counsel, A.G. Edwards & Sons, Inc., St. Louis, MO. NATURE OF DISPUTE: Member v

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Loren Dorshow and Tanni Stone-Dorshow, Individually and on behalf of the Griffel & Dorshow Profit Sharing Plan v. 04-08088 Minneapolis, Minnesota Respondents Piper Jaffray & Company and Curtis Ray Purington NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Loren Dorshow and'Tanni Stone-Dorshow, Indiv

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08082 Joseph P. Clark, Claimant v. E*Trade Securities, LLC, Respondent ATTORNEYS: Claimant appeared pro se, Ormond Beach, FL. For Respondent E*Trade Securities ("Respondent") appeared John Bersin, Esq., in-house counsel, E*Trade Securities, LLC, Rancho Cordova, CA. NATURE OF DISPUTE: Customer vs. Member, DATE FILED: December 7, 2004. CASE SUMMARY: Claimant alleged that Respondent exe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William N. Leporini, Marie Leporini, William J. Leporini, Angelo W. Leporini and Maria F. Leporini (Claimants) vs. First Albany Corporation, n/k/a Albany Capital, Inc., First Union Securities, Inc., n/k/a Wachovia Securities, LLC and Frank DiVincenzo (Respondents) Case Number: 04-08079 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Members and Associated Person

NASD DISPUTE BESOLUHON AWARD NASD DISPUTE RESOLUTION CASB: 04-08057 Yair Shapita, (Claimant) vs. Primevest Financial Services, Inc., ATTORNEYS: Claimant appeared jwo se, K. Moizekm, Israel For Respondent appeared James J. Moylaa, Esq., of the finn Jfames J. Moylan & Associates, P.C., Steamboat Springs, CO. NATURE OF DISPUTE: Customer vs. Member DATE FILED; November 12,2004 CASE SUMMARY: Qaiinant alleged breach of contract, negligence, feihire to

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08054 National Securities Corporation (Claimant) v. Jason Lawson (Respondent) ATTORNEYS: For Claimant National Securities Corporation ("Claimant") appeared Michael S. Colombo, President, Streetwide Asset Recovery Group, Inc., New York, NY. Respondent Jason Lawson ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED