Award COPY NASD Dispute Resolution In the Matter of the Arbitration Between: Howard W. Marcus & Lottie R. Marcus, TTEES FBO Howard & Lottie Marcus Trust HSP and TTEES FBO Howard & Lottie R. Marcus Trust WSP, Claimants v. Bane of America Investment Services, Inc. and Robin L. Chaffey, Respondents Case Number: 05-04082 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Darlene Darata, Claimant v. McClurg Capital Corporation, David G. McClurg, Raymond L. Lent and Joseph S. Niederkorn, Respondents Case Number: 05-03783 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: John W. Barnes Attorney at Law San Rafael, California For Respondents McClur

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Darrell Lake, Executor for the Estate of Walter J. Suckiel and Trustee of Walter J. Suckiel Community Property Trust 10/1/99, Claimants v. WM Financial Services, Inc. and Roy M. Leonard, Respondents Case Number: 05-03705 Hearing Site: Los Angeles, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Steven B. Lehat

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Subhas C. Mullick (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Edmund F. DiLeone (Respondents) Case Number: 05-03557 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member and Associated person REPRESENTATION OF PARTIES Claimant Dr. Subhas C. Mullick ("Mullick"), hereinafter referred to as "Claimant": Nicholas P. lavarone,

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Renee Braff v. Salomon Smith Barney, Inc., Paul J. Abrams and Arlette Cataldo Case Number: 01-02396 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Claimant: For Respondent Salomon Smith Barney, Inc. ("SSB"): For Respondent Paul J. Abrams ("Abrams"): For Respondent Arlette G. Cataldo ("CataJdo"): Darren C. Blum, Esq. Law Offices of Da

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants John Sinacola, Jackie Revoldt Sinacola, and Mary Sinacola vs. Case Number: 05-03517 Hearing Site: Troy, Michigan Names of Respondents Prudential Securities, Inc., n/k/a Prudential Equity Group LLC, Kenneth Bolda, and Wachovia Securities, LLC NATURE OF THE DISPUTE Customers v. Members and Associated Person REPRESENTATION OF PARTIES J

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mark D. Faulds vs. 05-03454 Chicago, Illinois Names of Respondents Willis Securities, Inc., Willis North America, Inc., Willis Americas Administration, Inc., and Willis Of Illinois, Inc. NATURE OF THE DISPUTE Associated Person vs. Member and Non-Members. REPRESENTATION OF PARTIES Mark D. Faulds ("Claimant") was represented by John P. Morr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Grace Purnia, Claimant v. Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. and Nat DiCarlo, Respondents Case Number: 05-03194 Hearing Site: Los Angeles. California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Brett A. Alcala, Esq. Alcala Law Firm San Mateo, California For Respondents Citigroup Global

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara Anderson Little, IRA (Claimant) vs. Michael Bell and Morgan Stanley Dean Witter, Inc. (Respondents) Case Number: 05-03145 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant Barbara Anderson Little, IRA hereinafter referred to as "Claimant": David Liebrader, Esq., The Law Office of David Lieb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02855 Paul T. Chappie Name of the Respondent Hearing Site: Birmingham, Alabama Morgan Stanley DW, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Paul T. Chappie, hereinafter referred to as "Claimant": Milton H. Fried, Jr., Esq., Woska & Hayes, LLP, Kingswood, Texas. For Morgan Stanley DW, Inc., hereinaf