AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Tom Searcy and Case Number: 05-02271 Hearing Site: Houston, Texas Names of Respondents Southwest Securities, Inc., and Ted Wilson Doyle NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Tom Searcy ("Claimant") was represented by Jon M. Smith, Esq., Kincaid, Horton & Smith, Austin, Texas. Southwest Se

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Vito and Denise Manente (Claimants) vs. Wachovia Securities, LLC (Respondent) Case Number: 05-02256 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Vito and Denise Manente hereinafter collectively referred to as ("Claimants") appeared pro-se. Respondent Wachovia Securities, LLC hereinafter referred to as ("Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) vs. George Hovsepian, Jr. (Respondent) Case Number: 05-02253 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC ("Wachovia") hereinafter referred to as "Claimant": Douglas D. Callaway, Esq., Wachovia Securities, LLC, Richmond, VA. Respondent Hovsep

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith Incorporated, Claimant v. Nancy Wheeler as Trustee of the G.E.H. Trust and the G.E.H. Trust, Respondents Case Number: 05-02244 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Customers REPRESENTATION OF PARTIES For Claimant: Eric J. Glassman, Esq. Mennemeier, Glassman & Stroud LLP Sacramento, California For Res

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: i Louis Pidi (Claimant) vs. Nicholas Dimitriou and Lisa Spurlin (Respondents) Case Number: 05-02234 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Associated Persons REPRESENTATION OF PARTIES Claimant Louis Pidi hereinafter referred to as "Claimant": Edward W. Cillick, Esq., Cillick & Sprague, Hackensack, NJ. Respondents Nicholas Dimitriou ("

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marshall F. Reutlinger and Rosemary Reutlinger (Claimants) vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. (Respondent) Case Number: 05-02233 Hearing Site: Albany, New York Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Marshall F. Reutlinger ("M. Reutlinger") and Rosemary Reutlinger ("R. Reutlinger") hereinafter collectively

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Merrill Lynch, Pierce, Fenner & Smith Incorporated Name of the Respondent ' William Anderson Case Number: 05-02224 Hearing Site: Atlanta, Georgia Nature of the Dispute: Member vs. Associated Person. ' REPRESENTATION OF PARTIES For (Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Karen L. Palermo, Esq

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Efrain J. Lopez and 05-02205 Chicago, Illinois Name of Respondent Bane One Securities Corporation Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Efrain J. Lopez ("Claimant") was represented by Randy S. Conn, Esq. and Gregory B. Simon, Esq., SimmonsCooper LLC, East Alton, Illinois. Bane One Securities Corporation ("Respondent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02181 Ryan Beck & Co., Inc., (Claimant) vs. Hillary Wertlieb, (Respondent) ATTORNEYS: For Claimant Kenneth O'Connor, Esq., of the firm Lubiner & Schmidt, Crandford, NJ. For Respondent appeared Arnold Davis, Esq., Counselor at Law, New York, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 22, 2005 CASE SUMMARY: Claimant alleged that Respondent breached a contract by f

Award NASD In the Matter of the Arbitration Between Names of the Claimants Case Number: 01-00530 Dorothy E. Bittner Family Trust Dorothy E. Bittner Names of the Respondents Hearing Site: Tampa, FL Royal Alliance Associates, Inc. Russian River Financial Services, Inc. Jeffrey M. Ambrosio REPRESENTATION OF PARTIES For Dorothy E. Bittner Family Trust (the "Trust") and Dorothy E. Bittner ("Bittner"), hereinafter collectively referred to as "