Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas W. Widmer, Indvidually, Thomas W. Widmer as Executor of the Estate of Ann R. Widmer, as Successor Trustee of the J. Wesley Widmer Trust U/A/D 5/21/98, as Successor Trustee of the Ann R. Widmer Trust U/A/D 3/30/99, and as Successor Trustee of the J. Wesley Widmer Family Trust U/A/D 5/21/98, and Betty Widmer (Claimants) vs. Edward D. Jones & Co., L.P. d/b/a Edward Jones and Syrrel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05155 Wachovia Securities, LLC Name of the Respondent Hearing Site: Nashville, Tennessee Billy Ray Caldwell, Jr. Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant, Wachovia Securities, LLC, hereinafter referred to as "Claimant", was represented by David L. Ward, Esq., Michaels & Ward, LLP, Boston, Mas

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Bane One Securities Corporation and JP Morgan Chase Bank, N.A. vs. Case Number: 05-04992 Hearing Site: Chicago, Illinois Names of Respondents Justin P. Fredian, Timothy N. Sjostrom, and Tyrone L. Coates NATURE OF THE DISPUTE Member and Non-Member vs. Associated Persons REPRESENTATION OF PARTIES Bane One Securities Corporation and JP Mor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Johanna Wilson, (Claimant) vs. Tucker Anthony Incorporated, Thomas James Nash, and James M. Hazelton, (Respondents) Case Number: 01-02376 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Johanna Wilson ("Wilson"), hereinafter referred to as "Claimant", appeared pro se. Previously represented by: Susan F. Drogin, Esq., a sole practitioner, Boston, MA. Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Finnegan Family Trust dated November 15, 1990 (Claimant) vs. Scott Seidman and UBS PaineWebber, Inc., n/k/a UBS Financial Services, Inc. (Respondents) Case Number: 05-04770 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant Finnegan Family Trust dated November 15, 1990 hereinafter referred to as

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant James H. Lee vs. Case Number: 05-04695 Hearing Site: Houston, Texas Name of Respondent Andrew Koval NATURE OF THE DISPUTE Associated Person vs. Customer REPRESENTATION OF PARTIES James H. Lee ("Claimant") was represented by Mitchell D. Savrick, Esq., Savrick, Schumann, Johnson, McGarr & Kaminski, Austin, Texas. Andrew Koval ("Respondent") was

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bane of America Investment Services, Inc., Claimant v. Todd E. Siedel, Respondent Case Number: 05-04656 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Ronald P. Kane, Esq. Kane & Fischer, Ltd. Chicago, Illinois For Respondent: Todd E. Siedel In Propria Persona Huntington Beach, Californ

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03550 William Michael Fleming, (Claimant) vs. Sutro & Co., Inc. a/k/a RBC Dain Rausher, (Respondent) ATTORNEYS: Claimant appeared pro se, North Hollywood, CA. For Respondent appeared Sutro & Co., Inc.'s in house counsel Carolyn Guy, Esq., Minneapolis, MN. NATURE OF DISPUTE: Customer vs. Member DATE FILED: July 8, 2005 CASE SUMMARY: Claimant alleged that Respondent misrepresented

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-03282 Jay Berkowitz, Pagona Berkowitz, Larry Berkowitz, Beth Berkowitz, Jeffrey Berkowitz, Amy Berkowitz, Joseph A. Berkowitz, and Barbara Berkowitz Names of the Respondents Hearing Site: Philadelphia, Pennsylvania Morgan Stanley DW Inc., William Joseph Meagher, Jr., Karl Seller Murray, and Anthony Filippello Nature of the Dispu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: La Verne P. Hawthorne, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and William L. Kopenhaver, Respondents Case Number: 05-03125 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant La Verne P. Hawthorne: Carl J. Carlson, Esq. Carlson & Dennett, P.S. Seattle, Washington