NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02493 Russell E. Gurley, (Claimant) vs. Sentra Securities Corporation, (Respondent) ATTORNEYS: Claimant appeared pro se, Salem, OR. For Respondent appeared in-house counsel John K, Fahey, Phoenix, AZ. NATURE OF DISPUTE: Associated Person vs. Member ~ " " DATE FILED: May 3, 2005 CASE SUMMARY: Claimant alleged that Respondent breached the terms of an Independent Contractor Agreement by

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Harry and Marilyn R. Haber Names of the Respondents Wachovia Securities, L.L.C. Marc Safinan Case Number: 05-02476 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Harry Haber ("H. Haber") and Marilyn R. Haber ("M. Haber"), hereinafter collectively referred to as "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald and Geraldine Van Zyl, Claimants v. UBS Financial Services Inc. and David K. Lundquist, Respondents Case Number: 05-02465 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants Donald and Geraldine Van Zyl: Randy Barnard, Esq. O'Shea Barnard Martin, P.S. Bellevue, Washington Fo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02464 Tracy Sanders Names of the Respondents Hearing Site: Birmingham, Alabama Investprivate, Inc. Vincent Franzone The Name of Third Party Respondent Larry Thompson Nature of the Dispute: Customer vs. Member and Associated Person vs. Associated Person. REPRESENTATION OF PARTIES For Tracy Sanders, hereinafter referred to as "Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Freeman N. Harris and Dorothy J. Harris, Claimants v. Wells Fargo Investments, LLC and Donovan L. Hilsabeck, Respondents Case Number: 05-02455 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: John D. Desbrow, Esq. Law Office of John D. Desbrow Newport Beach, California For Respondent

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: F. Allen Blagden (Claimant) v. Todd Bray and Calton & Associates, Inc. (Respondents) Case Number: 05-02450 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant F. Allen Blagden hereinafter referred to as "Claimant": William C. Rand, Esq., Law Offices of William Coudert Rand, New York, NY.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Merrill Lynch Pierce Fenner & Smith, Inc. and Name of Respondent William V. Laggner Case Number:, 05-02446 Hearing Site: Houston, Texas NATURE OF DISPUTE Member Firm v. Customer REPRESENTATION OF PARTIES Merrill Lynch Pierce Fenner &:'Smith, Inc. ("Claimant" or "Merrill Lynch") was represented by Jack D. Ballard, Esq., The Ballard Law Firm, Ho

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02437 Capital Growth Financial, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Michael Bell Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Capital Growth Financial LLC, hereinafter referred to as "Claimant": Charles E. Scarlett, General Counsel, Capital Growth Financial, LLC, Boca Raton, F

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02433 John F. Koningh, (Claimant) vs. Bear Stearns & Co., Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Newport Beach, CA. For Respondent appeared in-house counsel Jose L. Santos> Esq., New York, NY, NATURE OF DISPUTE: Customer vs. Member DATE FILED: May 2, 2005 CASE SUMMARY: Claimant alleged that Respondent breached its fiduciary duty by placing him in investments that wer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bill Billitzer, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith Inc. and Joseph Meerbaum, (Respondents) Case Number: 01-00536 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Bill Billitzer, hereinafter referred to as "Claimant": Jay R. McDaniel, Esq., Porzio, Bromberg & Newman, P.C., New York, NY. Respondent, Merrill Lynch, Pierce, Fenner & Smith Inc. (