Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02410 Wachovia Securities, LLC Name of the Respondent Hearing Site: Atlanta, Georgia Stephen Patrick Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Daniel S. Fiore, Arlington, Virginia. Stephen Patrick, herein

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Gustavo Alfonso Names of the Respondents Mickey Filippucci Oscar Melian Joseph Traba Prudential Securities, Inc. Case Number: 05-02401 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Gustavo Alfonso, hereinafter referred to as "Claimant": Matthew

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-02400 Stacey S. Mullet as custodian for Thomas U. Muller, Jr. Stacey S. Muller as Trustee of the Thomas U. Muller, Jr. Trust Thomas U. and Stacey S. Muller as Trustees of the Stacey S. Muller Trust Thomas U. and Stacey S. Muller as Trustees of the Thomas U. Muller Trust College Savings Plan FBO Thomas U. Muller, Jr., Dr. Thomas U. M

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Rio Grande Employees Hospital Association v. 05-02399 Denver, Colorado Respondents Piper Jaffray, Inc., Cascade Financial Management, Inc. David John Turner and Cascade Investment Group, Inc. NATURE OF DISPUTE Customer v. Member Firms and Associated Person REPRESENTATION OF PARTIES Rio Grande Employees Hospital Association ("Claimant") was represented by

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vishnu Praimwati Maraj v. Merrill Lynch Pierce Fenner & Smith, Inc. and Larue R. Gibson Case Number: 05-02395 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Vishnu Praimwati Maraj hereinafter referred to as "Claimant": Christopher J. Gray, Esq., Christopher J. Gray, P.C., New York, NY. Merr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Povill (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc. (Respondent) Case Number: 05-02391 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Richard Povill hereinafter referred to as "Claimant": Curtis E. Pew, Esq., Benjamin N. Cardozo School of Law, New York, New York. Respondent Merrill Lynch Pierce F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas A. Kujawski (Claimant) vs. National Securities Corporation and Brian L. Crawley (Respondents) Case Number: 05-02390 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Thomas A. Kujawski hereinafter referred to as "Claimant": J. Anklowitz, Esq., Bohemia, NY. Respondent "National Securitie

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02383 Vincent A. Preziosi Name of the Respondent Hearing Site: Orlando, Florida Dreyfus Service Corporation Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Vincent A. Preziosi, hereinafter referred to as "Claimant": Jon Broder, Esq., Blum and Silver, LLP, Coral Springs, Florida. For Dreyfus Service Corporatio

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02380 Woodbury Financial Services, Inc., (Claimant) vs. W. Zane Jackson, (Respondent) ATTORNEYS: For Claimant appeared Douglas D. McGhee, Esq., of the firm Arthur Chapman Kettering Smetak & Pikala P.A., Minneapolis, MN. Respondent did not respond to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 2, 2005 CASE SUMMARY: Claimant alleged that Respo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00534 Daniel D. Randall, claimant vs. Seaboard Securities and Peter A. Roberto, respondents. ATTORNEYS: Claimant appeared Pro Se, Northbrook, IL. For Respondents appeared Jay Marc Israel, Esq., in-house counsel, Islandia, NY. DATE FILED: February 1, 2001 CASE SUMMARY: Claimant alleged that respondent recommended stocks that were not suitable to his investment objectives. Claimant fu