NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07954 Suzanne Lacey, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Folsom, CA. For Respondent appeared in-house counsel Brett D. Sherman, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: November 9, 2004 CASE SUMMARY: Claimant alleged that Respondent placed her in investments, which were unsuitable

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anthony Fabbri, Claimant v. TD Waterhouse Investor Services, Inc., Respondent Case Number: 04-07951 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Anthony Fabbri In Propria Persona Hollywood, California For Respondent: Brian G. Mulherin, Esq. Jones, Bell, Abbott, Fleming & Fitzgerald L.L.P. Los

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marvin Pheffer, Claimant v. Mercury Securities, Respondent Case Number: 04-07937 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES For Claimant: David M. Greenberg, Esq. Larkspur, California For Respondent: Maia McGehee Mercury Securities San Rafael, California CASE INFORMATION Statement of Claim

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00368 Maroun and Nassif Boumoussa, claimant vs. Sharpe Capital, Eduard Mosionzhnik a/k/a Ed Moss, Gregory R. Traina, and Kurt T. Switala respondents. ATTORNEYS: For Claimant appeared John T. McGuire, Esq., New York, NY. For Respondent Sharpe Capital appeared Michael C. Simon, Esq., in-house counsel, New York, NY. Respondents Eduard Mosionzhnik ("Ed Moss"), Gregory R. Traina and Kurt

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07935 June Sagoskin (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, foe. (Respondent) A T T O R N E Y S : " " " " " ~ ~ — For Claimant June Sagoskin ("Claimant) appeared Adam M. Green, Esq., of the firm Anapol, Schwartz, Weiss, Cohan, Feldman and Smalley, P-C., Philadelphia, PA. For Respondent Merrill Lynch, Pierce, Fenner

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shizuka Oda, Claimant \. Jeffery E. Fong, Jay C. Fong and A.G. Edwards & Sons, Inc., Respondents Case Number: 04-07929 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Jonathan Boonin Warren & Boonin LLP Boulder, Colorado For Respondents: William S. Port A.G. Edwards & So

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-07916 Barbara M. Brown, IRA Barbara M. Brown TOD Allison Leigh Brown & Scott McCulloch Brown Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Barbara

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thp Claimant Alton Securities Group, Inc. JMame of the Respondent Keith Scott Perkins Case Number 04-07907 Hearing Site: Chicago, Illinois Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Alton Securities Group, Inc. ("Alton"), hereinafter referred to as "Claimant": Matt D. Maberry, Alton Securities Group, Inc., Alton, I

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07905 Olga Fairchild, Claimant v. Merrill Lynch, Pierce., Fenner & Smith, Inc. and Gilbert Zucker, Respondents ATTORNEYS: Claimant Olga Fairchild ("Claimant") appeared pro se, Union City, CA. For Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Gilbert Zucker (collectively "Respondents") appeared Angela A. Turiano, Esq., in-house counsel, Merrill Lynch, Pierce, Fenner & Smith,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07904 Raymond James Financial Services, Inc. (Claimant) v. Coleman Kao (Respondent) ATTORNEYS: For Claimant Raymond James Financial Services, Inc. ("Claimant") appeared Leslie A. Reese, Esq., in-house counsel Raymond James Financial Services, Inc., St. Petersburg, FL. Respondent Coleman Kao ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associa