Award NASD Dispute Resolution In the Matter of the Arbitration Between: Henry M. Korngut, Claimant v. Bear, Stearns & Co. Inc., Respondent Case Number: 05-03067 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES For Claimant: Frank F. Sommers, IV, Esq. Sommers & Schwartz LLP San Francisco, California For Respondent: Gilbert R. Serota, Esq. Howard Rice Nemerovski Canady Fa

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Robert M. and Joyce A. Vogel and 05-02986 Kansas City, Missouri Name of Respondents Merrill Lynch Pierce Fenner & Smith Incorporated David Eugene Black Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Robert M. and Joyce A. Vogel ("Claimant") was represented at the hearing by Sean Keane, Esq., SimmonsCoo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Carolyn Poinier Speakman v. 05-02896 Denver, Colorado Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Michael J. Hecht and Lary L. Speakman NATURE OF DISPUTE Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Carolyn Poinier Speakman. ("Claimant") was represented by C. Brad Peterson, Esq., of Hutchinson Black and Cook, LLC

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lewis E. Worms, individually and as trustee of the Lewis E. and Corrine I. Worms Trust, Claimants v. Salomon Grey Financial Corporation, Chazon Stein, and Christopher J. Borgo, Respondents Chazon Stein and Christopher J. Borgo, Counter-Claimants v. Lewis E. Worms and the the Lewis E. and Corrine I. Worms Trust, Counter-Respondents Case Number: 05-02677 Hearing Site: Los Angeles,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02642 Gail A. Andre, (Claimant) vs. Cristobal Guillen, (Respondent) A T T O R N E Y S : ~ Claimant appeared pro se, Vernon Hills, IL. Respondent appeared pro se, Seattle, WA. NATURE OF DISPUTE: Customer vs. Associated Person DATE FILED: May 16, 2005 CASE SUMMARY: Claimant alleged that Respondent breached his fiduciary duty, placed him in unsuit

Award NASD Dispute Resolution, inc. In the Matter of the Arbitration Between: Cannata Family Trust, Claimant vs. Bear Stearns & Company and Matthew J. Pickett, Respondents Case Number: 99-02234 JHearing Site: Houston, TX REPRESENTATION OF PARTIES Claimant, Cannata Family Trust, referred to as ("Claimant"): Sean Greenwood, Esq. and Don Fogel, Esq., Ware, Snow, Fogel, Jackson & Greene, P.C., Houston, TX. Respondents, Bear Stearns & Company and Mat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary K. O'Leary, Claimant v. Morgan Stanley DW Inc. and Samuel S. Crawley, Respondents Case Number: 05-02473 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Calvin N. Souther, Jr., Esq. Attorney at Law Portland, Oregon For Respondents: Jonathan D. Robbins, Esq. Morgan Stanley S

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant The Linda M. Palmer Trust U/D/A 12/12/91 and Case Number: 05-02366 Hearing Site: Southfield, Michigan Respondents Fifth Third Securities, Inc., Oppenheimer& Co., Inc., and Charles Beer NATURE OF DISPUTE Customer v. Members and Associated Person REPRESENTATION OF PARTIES The Linda M. Palmer Trust U/D/A 12/12/91 ("Claimant") was represented by Michael P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant/Counter-Respondent Case Number: 05-02221 Wachovia Securities, LLC Name of the Respondent/Counter-Claimant Hearing Site: Dallas, Texas Daniel Edward Levin NATURE OF THE DISPUTE Member Firm vs. Associated Person REPRESENTATION OF PARTIES Claimant/Counter-Respondent Wachovia Securities, LLC, hereinafter referred to as "Wachovia": Ronald Kane, Esq., of t

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Robert Spooner and Marlene Spooner and Respondent H&R Block Financial Advisors, Inc. Case Number: 05-01920 Hearing Site: Detroit, Michigan Customers v. Member NATURE OF DISPUTE REPRESENTATION OF PARTIES Robert Spooner and Marlene Spooner ("Claimants") were represented by Richard I. Lippitt, Esq., Richard I. Lippitt, P.C., Milford, Michigan. H&R B