AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Henry Carter v. Respondents Primevest Financial Services, Inc., and First National Bank of Bryan and Counter-Claimant Primevest Financial Services, Inc. V. . _• • •   ' • , _ V Counter-Respondent . ': Henry Carter • , , • > • '"' j and Third-Party Claimant Primevest Financial Services

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant ' ' Case Number 05-01784 Elsie S. Golob Name nf the Respondent Hearing Site? Columbia, South Carolina Citigroup Global Markets, hie. file/a Salomon Smith Barney, Inc. Nature of the Dispute: Customer vs. Member. RF.PRF.SF.NTATTON OF PARTTFS Claimant Elsie S. Golob, hereinafter referred to as "Claimant", was represented by Mitchell Willoughby, Esq., an

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Linda Louise Stanley The Catherine L. Stanley Living Trust, Linda Louise Stanley, Trustee CLS Asset Management, LLP Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith Case Number: 05-01781 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member, REPRESENTATION OF PARTIES For Linda Louise Stanley, The Catherin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-01780 Stephen Mechanic, individually and as Trustee of the Stephen Mechanic Children's Educational Trust Elizabeth Mechanic Stephen Mechanic as joint tenant with Jordan Mechanic Stephen Mechanic as joint tenant with Jonah Mechanic Stephen Mechanic as joint tenant with Joshua Mechanic Names of the Respondents Hearing Site: Boca Raton, Fl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ugo Bruni (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Caroline Nyklewicz Gundeck (Respondents) Case Number: 05-01765 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Ugo Bruni hereinafter referred to as "Claimant": Marc F. Desiderio, Esq., Englewood Cliffs, NJ. Respondents

Award NASD Dispute Resolution In the Matter of the Arbitration Between: i Name of the Claimant Marianne Chopp I Names_of the Respondents Merrill Lynch Harry Lewkowitz Case Number: 05-01756 Hearing Site: Boca Raton, Florida Nature 1 of the Dispute: Customer vs. Member and Associated Person, REPRESENTATION OF PARTIES For Claimant, Marianne Chopp,'hereinafter referred to as "Claimant": Hugh H. Bernstein, Esq., The Law Of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alfred B. Sprague and Sharon G. Sprague, Claimants v. Wells Fargo Investments, LLC and Kyle J. Gauthreaux, Respondents Case Number: 05-01753 Hearing Site: Phoenix. Arizona Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Robert D. Mitchell, Esq. Mitchell Law Offices, PC Phoenix, Arizona For Respondents: Michael J.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Frank Papa, (Claimant) vs. Morgan Stanley Dean Witter and Ann Allen, (Respondents) Case Number: 01-00521 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Frank Papa, hereinafter referred to as "Claimant": Guy R. Cirincione, Lincroft, NJ. Respondents, Morgan Stanley Dean Witter ("MSDW") and Ann Allen ("Allen"), hereinafter collectively referred to as "Respon

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01736 Ryan Beck & Co., Inc., (Claimant) vs. John Poulson, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel, Joanne M. Spataro, Esq., Livingston, NJ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED; March 31, 2005 CASE SUMMARY: Claimant alleged that Respondent breached an employment contract by fail

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jon Steiner, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Adrian Cooper, Respondents Case Number: 05-01715 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant Jon Steiner: For Respondent Merrill Lynch, Pierce, Fenner & Smith, Incorporated: Greg A. Metze