NASD DISPUTE RESOLTDTJON AWARD NASD DISPUTE RESOLUTION CASH: 04-07903 Charles V. Brown, (Claimant) vs. High Street Financial, Inc., (Respondent) ATTORNEYS: " " " " " For Claimant appeared Neal J. Blaher, of Hie Law Office of Neal Biahcr, Orlando,. FL, For Respondent appeared Richard C. McCrea, Jr. ? Esq., of the firm Zinobar & McCrea, Tampa, FL. NATURE OF DISPUTE: Associated Person v. Non-Member with Contract to Arbitrate

NASD DISPUTE RESOLUTION AWAJRD NAS1> PISFUTE KESQLimON CASE: 04-07902 Carolyn Madge Corbb, (Claimaat) vs. A.G- JBdwwds & Sana, Inc., (Respondent) ATTORNEYS: For Claimant appeared Richard E. Corrigan* Esq., Mobile, AJL For Respondent Appeared in-house counsel Brent J. Burtm, Esq., St. Louis, MO. DAtE FILED: November 12, 2004 CASE SUMMARY: Claimant alleged that Respondent sold her iavestmc&U without her knowledge and authorization. Claranani frrtber a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Midwood Securities, Inc. (Claimant) v. Donald G. Kress (Respondent) Case Number: 04-07896 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Midwood Securities, Inc. hereinafter referred to as "Claimant": Donald A. Corbett, Esq., Carter Ledyard & Milburn, LLP, New York, NY. Respondent Donald G. Kress hereinaft

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00367 Bette S. Margolis, claimant vs. McDonald Investments, Inc. and Trine B. Ford, respondents. ATTORNEYS: Claimant appeared Pro Se, Highlands Ranch, CO. For Respondents appeared Kathryn M. Miley,Esq., of the firm Wilkerson & Associates Co., LPA, Cleveland, OH. DATE FILED: January 23, 2001 CASE SUMMARY: Claimant alleged that respondents mismanaged her account when they failed t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07894 Ryan Beck & Co., Claimant v. Carmine DePalma, Respondent ATTORNEYS: For Claimant Ryan Beck & Co. ("Claimant") appeared Jeffrey Cohen, Esq., in-house counsel, Ryan Beck & Co., Livingston, NJ. Respondent Carmine DePalma ("Respondent") appeared pro se, Mount Kisco, NY. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: November 15, 2004. CASE SUMMARY: Claimant alleged tha

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07893 Ryan Beck & Co., Claimant v. Fotis and Michael Costalos, Respondents ATTORNEYS: For Claimant Ryan Beck & Co. ("Claimant") appeared Jeffrey Cohen, Esq., in-house counsel, Ryan Beck & Co., Livingston, NJ. Respondents Fotis and Michael Costalos (collectively "Respondents") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Customers. DATE FILED: Novemb

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07886 Xavier Miles Names of the Respondents Hearing Site: New Orleans, Louisiana American General Securities, Inc. Leroy Jack Smith Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Xavier Miles, hereinafter referred to as "Claimant": George W. Healy, W, Esq., George W. Healy, I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Patricia M. Schuler, individually and on behalf of Patricia M. Schuler, IRA Names nf the Respondents Edward D. Jones & Co. Jayson Wallie Jones Case Number- 04-07868 Hearing Site: Columbia, South Carolina Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRF.SF.NTATTO1SJ OF PARTTF.Si Claimant, Patricia M. Schuler, individual

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nyfix Millennium, LLC (Claimant) v. Paravane Partners, LLC, and Leeb Brokerage Services, Inc. (Respondents) Case Number: 04-07856 Hearing Site: New York, New York Nature of the Dispute: Member v. Member REPRESENTATION OF PARTIES Claimant Nyfix Millennium, LLC ("Claimant"): Gerard P. Finn, Esq., Bingham McCutchen, LLP, Washington, DC. Respondent Paravane Partners,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant/Cou nter-Respondent Man McCain and Respondent/Counter-Claimant Oppenheimer & Co., Inc. Case Number: 04-07853 Hearing Site: Houston, Texas NATURE OF DISPUTE Associated Person v. Member Firm and Member Firm vs. Associated Person REPRESENTATION OF PARTIES Mari McCain ("McCain" or "Claimant") was represented by Walter!. Weathers, Jr., Esq., Watt Beckworth