Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Joseph C. Huttemann rasft Number- 03-05696 Names nf the Respondents Janney Montgomery Scott, LLC James McAfee ring Site- Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRFSFNTATTON OF PARTTTCS Claimant, Joseph C. Huttemann, hereinafter referred to as "Claimant", was represented by Steven

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Macy Moret Jennie Moret Name of the Respondent Wachovia Securities, Inc. for itself and as successor by merger to First Union Brokerage Services, Inc. Case Number: 03-05692 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Macy Moret and Jennie Moret, hereinafter collectively re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-05690 Catherine Cox Joseph Del Campo Names of the Respondents Hearing Site: Boca Raton, Florida Edward Jones & Co. Bruce Kallor Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Catherine Cox and Joseph Del Campo, hereinafter collectively referred to as "Claimants": Marc S. Gottlieb,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Robert N. Bonner vs. 03-05689 Nashville, Tennessee Respondents CUNA Brokerage Services, Inc., and UVEST Financial Services Group Nature of the Dispute: Customer vs. Member Firms REPRESENTATION OF PARTIES Robert N. Bonner ("Claimant") was represented by John B. Veach, HI, Esq., Falls & Veach, Asheville, North Carolina. CUNA Brokerage Services, Inc. ("C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-05688 Mel Pearlman Susan Pearlman Name of the Respondent Hearing Site: Orlando, Florida Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mel Pearlman and Susan Pearlman, hereinafter collectively referred to as "Claimants": Neal J. Blaher, Esq., Law Offices o

Award NASD Dispute Resolution In the Matter of the Arbitration Between: H. Craig Mallder, H. Craig Mallder Revocable Trust, H. Craig Mallder IRA, Dorothy T. Mallder, and Dorothy T. Mallder Revocable Trust, Claimants v. A.G. Edwards & Sons, Inc., Respondent Case Number: 03-05682 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Dennis H. Taylor, Esq. Shepherd, Smith & Rebel Hous

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Dr. D. Ross and Janet E. Halliday and 03-05680 Phoenix, Arizona Name of Respondents RBC Dain Rauscher Inc. Patricia B. Ternes Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Dr. D. Ross and Janet E. Halliday ("Claimants") were represented by John J. Nicgorski, Esq. and Daniel P. Beeks, Esq., Mohr, Hack

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Anthony Carlisi, Lucy J. Carlisi and Joseph Carlisi and Case Number: 03-05678 Hearing Site: Soirthfield, Michigan Respondent Bane One Securities Corporation NATURE OF DISPUTE Customers v. Member REPRESENTATION QF PARTIES Anthony Carlisi, Lucy J. Carlisi and Joseph Carlisi ("Claimants") were represented by Joel H. Kaufman, Esq., Farmington Hills, Michigan

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Robert S. Alford and Catherine P. Alford, TIC Case No. 01-01600 Names of Respondents Andre Robert Johnson Rice & Company, L.L.C. Hearing Site: New Orleans, LA REPRESENTATION OF PARTIES For Robert S. Alford and Catherine P. Alford, TIC, hereinafter collectively referred to as "Claimants": Henry W. Kinney, Esq. of Kinney & Ellinghausen, New

Stipulated Award NASD Dispute Resolution In the Matter of Arbitration Between: Claimant Beauregard Investments, L.P. v. Respondents Credit Suisse First Boston LLC, Jin Kyun Park, John Emery Sawyer, IV, Pershing, LLC, a Division of Donaldson, Lufltin & Jenrette Securities Corporation, a/k/a Pershing LLC, and Donaldson, Lufkin & Jenrette Securities Corporation. NASD Arbitration No. 03-05675 Hearing Location: Dallas, Texas NATURE OF THE DISPUTE