. 04/25/2005 17:11 FAS 4102375613^ PRIVATE BANKING 2 ®002 ; ' 04/22/2005 08:32 FAX 202 728 8M£ J NASD DISPUTE RESOLUTION Stipulated Award NASD Ditptte RcMtorttaB In ttoe Mrfier of ibe Arbitration Between: lwf 03^)9133 PriscfflaLStickdl MD Kent V. Pence Nature of the Dwpme; Customer vs. Member and Associated Person. J. EdmoodSudcdlandPrlicUlflL Stki€31,lta?cwiafiCTcoWectivdyreftc^ as ^ RespondeatB, KfeniU L>nd^ IHerce, Peai^

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Claimant Slyvia T. Levin vs. Respondents Thurston G. Oilman, Steven A. Oilman, Financial Links, Inc. and Penson Financial Services, Inc. Case Number: 03-09132 SITUS: Philadelphia, Pennsylvania NATURE OF DISPUTE: Customer v. Members and Associated Persons REPRESENTATION OF PARTIES Claimant, Slyvia T. Levin, hereinafter referred to as "Claimant": Debra G. Speyer, Esq., Law Off

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant fagg Number- 03-09131 Eugene W. Ennis Names of the Respondents Hearing Site: Philadelphia, PA Christopher T. Wright Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATTON OF PARTIES Claimant, Eugene W. Ennis, hereinafter referred to as "Claimant", was represented by Edwin L. Stock,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Marlene B. Magill and 03-09130 Kansas City, Missouri Name of Respondents Prudential Equity Group, LLC PruCo Securities, LLC David James Neihart Johnnie C. Huff and Larry S. Singer Nature of the Dispute: Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES Marlene B. Magill ("Claimant") was represented by Scott K

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Schwab & Co., Inc., Claimant v. John Wesley Logan, Respondent John Wesley Logan, Counter-Claimant v. Charles Schwab & Co., Inc., Counter-Respondent John Wesley Logan, Earl Woolwine, Harold Dorris, and Anne Dorris Woolwine, Third Party Claimants v. Ernest M. Dill, Third Party Respondent Case Number: 01-01714 Hearing Site: Seattle, Washington Nature of the Dispute: Member v. A

Award NASD Dispute Resolution In the Matter of the Arbitration Between; James Reynolds, Claimant v. Wedbush Morgan Securities Inc., Respondent Case Number: 00-00757 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant James Reynolds: Dennis W. Rihn, Esq. Law Offices of Dennis W. Rihn Glendale, California Jonathan W. Evans, Esq. Jonathan Evans & Associates Los Angeles, California For Respondent Wedbush Morg

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Lawrence Praml v. 03-09127 Minneapolis, Minnesota Respondent Linsco Private Ledger Corporation Nature of Dispute: Customer v. Member REPRESENTATION OF PARTTES Lawrence Praml ("Claimant") was represented by Harvey H. Eckart, Esq., and Amy M. Leonetti, Esq., of Eckart & Leonetti, P.A., St. Paul, Minnesota. Linsco Private Ledger Corporation ("Respondent") wa

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Howard M. Giroux and llene J. Giroux and Respondents Merrill Lynch, Pierce, Fenner& Smith, Inc., Mark W. Bublitz, Deborah Corson, and Michael Livernois Case Number: 03-09125 Hearing Site: Troy, Michigan NATURE OF DISPUTE Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Howard M. Giroux and llene J. Giroux ("Claimants") were rep

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lee Nordstrom and Lee Nordstrom IRA, Claimants v. Wachovia Securities, LLC, Robert W. Baird & Co. Incorporated, and Alan A. Gildenberg, Respondents ' Case Number: 03-09118 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimants Lee Nordstrom and Lee Nordstrom IRA: For Respondent Wac

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph R. Bybee and Carole F. Bybee (Claimants) v. American Express Financial Advisors, Inc. and Barbara Wallis (Respondents) Case Number: 03-09116 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Joseph R. Bybee ("J. Bybee") and Carole F. Bybee ("C. Bybee") hereinafter collectively ref