Award NASD Dispute Resolution In the Matter of the Arbitration Between: ) Name of foe Claimant ) Case Number: 04-03440 Barry N. Rosenblum, Trustee of the ) Barry N. Rosenblum MD PC Profit Sharing Plan ) Dtd 1-1-92 ) Name of the Respondent ) H ear ing Site: St. Louis, Missouri A.G. Edwards & Sons. Inc. ) MATURE OP Customer vs. Member Firm f>F PARTIES Ronald L. Rothman, Esq. of the law firm Librach & Rothman, P.C., located in St. L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Jay Weissberg (Claimant) v. TD Waterhouse Investor Services, Inc. (Respondent) Case Number: 04-03347 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Michael Jay Weissberg ("Weissberg") hereinafter referred to as "Claimant" appeared pro se. Respondent TD Waterhouse Investor Services, Inc. ("TD Waterh

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03249 Beverly A. Weigand Name of the Respondent Hearing Site: New Orleans, Louisiana Securities America, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Beverly A. Weigand, hereinafter referred to as "Claimant": L. Jerome Stanley, Esq., L. Jerome Stanley, P.C., Baton Rouge, Louisiana. For Securities Amer

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, EMC. CASE: 01-03106 Preferred Securities Group, claimant vs. Scott Howard Weissman, respondent. ATTORNEYS: For Claimant: Vic Lessinger, In-House Counsel, Boca Raton, FL Respondent appeared pro-se., Ft. Lauderdale, FL. DATE FILED: June 12, 2001 CASE SUMMARY: Claimant alleged respondent failed to repay advanced commissions upon termination as stated in an Agreement he made with claimant. Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Attilo and Marie Catani (Claimants) v. Thomas M. Mackenzie, Reynold Vaughan and Kirlin Securities, Inc. (Respondents) Case Number: 04-03109 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Attilo Catani and Marie Catani hereinafter collectively referred to as "Claimants": Vincent J. Imbesi, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01975 Robert Morris Friedman Names of the Respondents Hearing Site: Boca Raton, Florida Prudential Insurance Company of America Cheryl Borek Nature of the Dispute: Associated Person v. Member and Associated Person. REPRESENTATION OF PARTIES For Robert Morris Friedman, hereinafter referred to as "Claimant": Rachelle R. McBride, Esq., S

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Evelyn Caputo (Claimant) vs. Merrill Lynch, Pierce, Fenner and Smith Incorporated and Anthony Todd Watts (Respondents) Case Number: 04-01733 Hearing Site: Columbus, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Evelyn Caputo hereinafter referred to as "Claimant": Stephen P. Meyer, Esq., Meyer & Ford, Charlesto

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01414 Tyler F. Hunter and Laura S. Hunter, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimants Tyler F. Hunter and Laura S. Hunter (collectively "Claimants") appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Shinkle, Claimant v. Oak Tree Securities, Inc., Mark Walsvick, Gary Hooker, Daniel Quesada, Legacy Financial Services, Inc., Respondents Case Number: 04-00730 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Members and Associated Persons REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Attorney at Law Novato, California

Award NASD Dispute Resolution In the Matter of the Consolidated Cases: Consolidated Case Number: 04-00615 Case Number: 04-00615 BPM Insurance Services, LLC and BPM Wealth Management, LLC, Claimants v. Vladimir Belinsky and Hermitage Advisors, LTD., Respondents Vladimir Belinsky, Counter-Claimant and Third-Party Claimant v. BPM Wealth Management, LLC (previously known as BPM Goldman Financial Design, LLC) and Henry B. Pilger, Counter-Respondent and T