AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Thomas McLearen and 03-03530 Chicago, Illinois Name of Respondents LPL Financial Services a/k/a Linsco Private Ledger, Inc. and Paul Sullivan . Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Thomas McLearen ("Claimant") was represented by Rosemarie J. Guadnolo, Esq., of Horvath & Lieber, P.C., Chicago,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between i Names of Claimants ! Michael 0. and Donna J. Lareau and Case Number: 03-03524 Hearing Site: Troy, Michigan Names of Respondents ' i LaFleur & Godfrey, Inc. and Richard J. Godfrey ' • • t i , , NATURE OF DISPUTE Customers v. Non-Member and Associated Person REPRESENTATION OF PARTIES Michael O. and Donna J. Lareau ("Claimants") were represented by D. M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul W. Bodet (Claimant) v. Bane of America Securities, LLC (Respondent) Case Number: 03-03518 Hearing Site: New York, IJew York Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Paul W. Bodet ("Bodet") hereinafter referred to as "Claimant": Murray Schwartz, Esq., Law Offices of Schwartz & Perry, New York, NY. Respondent Bane of America Secur

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Calista Williamson (Claimant) v. Bear Stearns & Co., Inc. (Respondent) Case Number: 03-03514 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Calista Williamson ("Williamson") hereinafter referred to as "Claimant'*: Alan L. Krumholz, Esq., Krumholz Dillon, P.A., Jersey City, NJ. Respondent Bear Stearns & Co.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Otto Frank Loser (Claimant) v. TD Waterhouse Investor Services (Respondent) Case Number: 03-03511 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Otto Frank Loser ("Loser") hereinafter referred to as "Claimant" appeared pro se. Respondent TD Waterhouse Investor Services, Inc. ("Waterhouse") hereinafter referred

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Carl 0. Gulledge, Jr. Name of the Respondents; A.G. Edwards & Sons, Inc. Charles Alessandro ase Number- 03-03506 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Associated Person vs. Member and Associated Person. KF.PRFSFNTATTON OF PARTIES Claimant, Carl O. Gulledge, Jr., hereinafter referred to as "Claimant", was represented by M.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03505 Kathryn A. Jones, Claimant v. Billy J. and Susan G. Owens, Respondents. ATTORNEYS: For Claimant, Kathryn A. Jones, ("Claimant"), appeared Brian D. Donnelly, Morristown, NJ. For Respondents, Billy J. and Susan G. Owens, ("Respondents"), appeared Edward A. McConwell, Esq., Mission, KS. NATURE OF DISPUTE: Associated Person v. Customers DATE FILED: May 13, 2003 CASE SUMMARY: Claima

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number* 03-03501 Lawrence S. and Susanne W. Close Names nf fhp RespnnHffnts Hearing Site- Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Chris A. Barnish Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTTFS Claimants, Lawrence S. and Susanne W. Close ("Claimants"), were represented by

0&V24/2004 14:57 FAX 312 893 4407 N A S D 1002/013 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 03-03497 Dr. V. John Wind and Gloria Wind, Trustees of the V. John and Gloria Wind Living Trust Dtd 10/7/99 Name of the Respondent Hearing Site: St. Louis, Missouri' Merrill Lynch Pierce Fenner & Smith, Inc. Nature of the Dispute: Customers vs. Member Firm REPRESENTATION OF

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Barry N. Link and World Equity Group, Inc. and Case Number: 03-03493 Hearing Site: Chicago, Illinois Name of Respondent Pacific Life Insurance Co. NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES Bany N. Link ("Link") and World Equity Group, Inc., ("WEG") oF^'Claimants 11 ) were represented by Albert Watkins of Muchnick Dunne