V NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05648 Shiel Family Trust, Claimant v. Capital Securities of America, Inc. and Cesar P. Aquino, Respondents ATTORNEYS: Claimant, Shiel Family Trust, appeared through, Howard E. Shiel, Jr., Trustee, Seattle, WA. For Respondents, Capital Securities of America, Inc. and Cesar P. Aquino, (collectively "Respondents"), appeared Craig G. Pelini, Esq., of the firm Pelini & Fischer, Ltd., North

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Lauren M. Montillo vs. EB1 Securities Corporation a/k/a Global Capital Securities Corporation, and Andrew Scott Koppel. Case Number: 04-5643 SITUS: Baltimore, Maryland. NATURE OF DISPUTE: Customer v. Terminated Member and Associated. Person REPRESENTATION OF PARTIES Claimant, Lauren M. Montillo "Claimant", was represented by William N. Butler, Esq., Howard, Butler & Melfa, P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names Claimnnta Robert M. Pollock Susan R. Pollock Margaret Pollock Names nf the Respondents Van Kampen Funds, Inc. National City Bank of Pennsylvania Edward J. Pollock, Sr. Larry J. Pollock, Sr. Barbara Vargo Ca^ Nnmhq- 04-05632 Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customers vs. Member, Non-Member and Customers. PFPRFSFNT

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brandy Chantell Ness, Case Number:- 04-05631 Claimant, v. H&R Block Financial Advisors, Inc. and Hearing Site: Indianapolis, Indiana Imran Nasim Shams, Respondents. NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Brandy Chantell Ness ("Ness"), hereinafter referred to as "Claimant": Robert Bertsch, Esq. of

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Dr. Michael P. McCormack and Mrs. Janelle A. McCormack and Names of Respondents Raymond James Financial Services, Inc., Winfield G. Mayne and Duane A. Sturm Case Number: 04-05628 Hearing Site: Des Moines, Iowa NATURE OF DISPUTE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Dr. Michael P. McGormack and Mrs. Janelle

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-00246 Dr. Martin Toback, Charlotte Toback, Dr. Martin Toback IRA and Charlotte Toback IRA Names of the Respondents Hearing Site: Boca Raton, Florida American Express Financial Advisors, Inc. and James Kar Nature of Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Dr. Martin Toback, Charlotte Toba

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Kenneth Lasater, as the Executor of the Estate of Lisa Gleason, Deceased and Respondents MONY Securities Corporation and Donald Michael Purcell Case Number: 04-05627 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Kenneth Lasater, as the Executor of the Estate of Lisa Gle

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Arlene Peress (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith Inc. and Dino Santoro (Respondents) Case Number: 04-05625 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Arlene Peress hereinafter referred to as "Claimant": Robert E. DeRight, Jr., Esq., Robert E. DeRight, Jr., P.C.,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05622 Mary Holland (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) ATTORNEYS: For Claimant Mary Holland ("Claimant") appeared Gregory Tendrich, Esq., of the Law Office of Gregory Tendrich, P.A., Boynton Beach, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Alan M. Wolper, Esq., of the firm Sutherland, Asbill & Brennan, LLP, Atlan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05621 Barbara F. Brady-Mikos f/k/a Barbara F. Brady Names of the Respondents * Hearing Site: Atlanta, Georgia Bane of America Investment Services, Inc. David Steven Burroughs Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Barbara F. Brady-Mikos f/k/a Barbara F. Brady, hereinafter refeired to