Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-03399 Ronald H. and Barbara L. Colvin, and Ronald H. Colvin as Custodian for Miller Z. Colvin, Andrew Boiling Colvin, Emily Grayson Boiling, Allan Boiling, and Evan James Boiling Name of the Respondent Hearing Site: Columbia, South Carolina Legg Mason Wood Walker, Inc. Nature of the Dispute: Customers vs. Member. REPRESENTATION OF P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert L. Forsyth, Jr. (Claimant) vs. STG Secure Trading Group, Inc. (Respondent) Case Number: 05-03353 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Robert L. Forsyth, Jr. hereinafter referred to as "Claimant": Theodore L. Hecht, Esq., Thoedore L. Hecht Attorney At Law, White Plains, NY. Respondent STG Secure Trad

NASD Dispute Resolution Arbitration No. 05-03338 Award Page 1 NASD DISPUTE RESOLUTION IN THE MATTER OF THE ARBITRATION BETWEEN: JUDY SCHABEN, individually and f/b/o STEPHANIE HAMMOND, REED HAMMOND and WILLIAM SCHABEN, individually, Claimants, v. EDWARD D. JONES & CO., L.P. and CURTIS LONG, Respondents. Case Number: 05-03338 Hearing Site: Wichita, Kansas Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION O

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sulastri Gunawan, Claimant v. Ameritrade, Inc. and J.P. Securities, Inc., Respondents Case Number: 05-01777 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Members REPRESENTATION OF PARTIES For Claimant Sulastri Gunawan: Nicholas Ng Global Foods Inc. Chino, Calfiornia For Respondent Ameritrade, Inc. and J.P. Securities, Inc.: James J. Vihstadt

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-01757 Terrance Wainwright Adolph Mary Alice Adolph The Adolph Living Trust Names of the Respondents Hearing Site: Orlando, Florida Raymond James & Associates, Inc. McDonald Investments, Inc. James V. Cairo Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Terrance Wainwright Adol

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 05-01565 Margaret Lewis Names of Respondents Hearing Site: Boca Raton, Florida Dina Louise Fliss Nancy Ann Moate WMA Securities, Inc. World Group Securities, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Margaret Lewis, hereinafter referred to as "Claimant": Scott L. Silve

Amended Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Legg Mason Wood Walker, Inc. Name of the Respondent Brian Parker Name of the Third-Party Respondent Patrick J. Maroney Case Number: 05-01463 Hearing Site: Tampa, Florida Nature of the Dispute: Member vs. Associated Person vs. Associated Person. REPRESENTATION OF PARTIES For Legg Mason Wood Walker, Inc., hereinafter referred

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Erwin J. Andersen Case No. 99-02230 Names of Respondents A.G. Edwards & Sons, Inc. Jack Webber Lantis REPRESENTATION OF PARTIES For Erwin J. Anderson, hereinafter referred to as "Claimant": W. Andrew Clayton, Jr., Esq. of the law firm of Wallace, Browning, Clayton & Krawetz, Sarasota, Florida. For A.G. Edwards & Sons, Inc. ("A.G. Edwards") and J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01318 Gus T. Skarlis Name of the Respondents Hearing Site: Chicago, Illinois Philip D. Roebuck; Equitrade Securities Corporation; Stephen H. Roebuck; and, Kim Sang Carroll NATURE OF THE DISPUTE Public Customer vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES Claimant Gus T. Skarlis, hereinafter referred to as "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01215 Dominic Porcaro Name of the Respondent Hearing Site: Boca Raton, Florida Merrill, Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES For Dominic Porcaro, hereinafter referred to as "Claimant": Marc S. Dobin, Esq., Dobin & Jenks, LLP, Jupiter, Florida. For Merrill, Lynch, Pier