Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Raymond James Financial Services, Inc. Names of the Respondent Ronnie W. Flint Case Number: 06-00481 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Raymond James Financial Services, Inc., hereinafter referred to as "Claimant": Jonathan E. Perlman, Esq., Genovese Jobl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Stern Agee & Leach, Inc. Names of the Respondents Coker, Palmer, Phillips & Mullen Paul T. Westervelt, Jr. Michael D. Bodino Case Number: 05-05523 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Member v. Member and Associated Person. REPRESENTATION OF PARTIES Stern Agee & Leach, Inc., hereinafter referred to as "Claimant", Patric

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04314 Betsy Engel Name of the Respondent Hearing Site: Richmond, Virginia Bane of America Investment Services, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Betsy Engel, hereinafter referred to as "Claimant": Robert A. Kantas, Esq., Shepherd, Smith & Edwards, LLP, Houston, TX. For Bane of America Invest

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04092 Wachovia Securities, LLC. Name of the Respondent Hearing Site: Boca Raton, Florida Angel Beguiristain Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC., hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, Arlington, Virg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04056 Horwitz & Associates, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Terrence W. Toppin Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Horwitz & Associates, Inc., hereinafter referred to as "Claimant": Helen B. Bloch, Esq., Bellows and Bellows, PC, Chicago, Illinois. For Terrenc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-03409 Michael J. Martin, Jr., individually and as Personal Representative of the Estate of Michael J. Martin, Sr. Name of the Respondent Hearing Site: Tampa, Florida. Raymond James & Associates, Inc. Name of Third-Party Respondent Helen Martin Nature of the Dispute: Customer vs. Member vs. Non-Associated Person. REPRESENTATION O

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Maxie A. LeBlanc Maxie A. LeBlanc, IRA Katherine S. LeBlanc LeBlanc Construction Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith Incorporated Robert Ewing, IV Randy Kirby Case Number: 05-02591 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member and Associated Person. REPRESEN

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-07628 Ames Ray Names of the Respondents Hearing Site: Boca Raton, Florida SunTrust Securities, Inc. BHC Securities, Inc. n/k/a Fiserv Securities, Inc. National Financial Services LLC John Griffin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Ames Ray, hereinafter referred to as "Claima

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03680 Rupender Lokareddy Names of the Respondents Hearing Site: Orlando, Florida Fahnestock & Co., Inc. Jack Man Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Rupender Lokareddy, hereinafter referred to as "Claimant": Randell W. Henley, Esq., West Palm Beach, Florida. For Fahnestoc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Annalisa Noonan and Stanley J. Korich, Claimants v. Morgan^ Stanley DW Inc., Respondent Case Number: 06-02719 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES For Claimants: Stanley J. Korich and Annalisa Noonan Oakland, California For Respondent: Melissa M. Maccarone, Esq. Morgan Stanley DW Inc. San Fr