Award NASD Dispute Resolution In the Matter of the Arbitration Between: James O'Leary (Claimant) v. Wachovia Securities, LLC (Respondent) Case Number: 05-01654 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant James O'Leary ("O'Leary") hereinafter referred to as "Claimant": Dan A. Druz, Esq., Manasquan, NJ. Respondent Wachovia Securities, LLC ("Wachovia") hereinafter referred to a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01652 William F. Gray, (Claimant) vs. A.G. Edwards & Sons, Inc., (Respondent) ATTORNEYS: For Claimant appeared Debra Brewer Hayes, Esq., of the firm Woska & Hayes, LLP, Kingwood, TX. For Respondent appeared in-house counsel Denise J. Capriglione, Esq., St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 24, 2005 CASE SUMMARY: Claimant alleged that Respondent breac

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Helen L. Rhodes and Franklin F. Rhodes, Claimants v. PaineWebber, Inc. n/k/a UBS Financial Services Inc., Respondent Case Number: 05-01640 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Charles C. Hunter, Esq. Woska & Hayes, LLP Kingwood, Texas For Respondent: Kathy Adams, Esq. UBS Financial S

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant David E. Roether and Case Number: 05-01626 Hearing Site: Troy, Michigan Respondent Robert W. Baird & Co.. Inc. NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES David E. Roether ("Claimant") was represented by Ralph R. Safford, Esq., Safford & Baker, Bloomfield Hills, Michigan. Robert W. Baird & Co., Inc. ("Respondent") was represented by

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01619 William W. and Barbara Berryhill, (Claimants) vs. Todd C. Bauman, Natalie A. Carter, Stephen Martin, Carnden Securities, Inc. and Patrick Anthony, (Respondents) ATTORNEYS: Claimants appeared pro se, Henderson, NV. For Respondents Camden Securities, Inc. and Patrick Anthony appeared Patrick Anthony, Los Angeles, CA. Respondent Todd C. Bauman appeared pro se, Las Vegas, NV. Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Carol Belisle Names of the Respondent Wachovia Securities, LLC Case Number 05-01616 Hearing Site: Columbia, South Carolina Nature of the Dispute: Customer vs. Member. RF.PRF.SKNTATTON OF PARTTFS Claimant, Carol Belisle, hereinafter referred to as "Claimant", was represented by W. Brantley Harvey, Jr., Esq., Harvey & Battey, P.A., Beaufort, South

Award NASD Dispute Resolution In the Matter of the Arbitration Between: TD Waterhouse Investor Services, Inc. (Claimant) vs. Covenant Consulting, Inc. (Respondent) Case Number: 05-01610 Hearing Site: New York, NewYork Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant TD Waterhouse Investor Services, Inc., hereinafter referred to as "Claimant": Walter A. Saurack, Esq., Satterlee Stephens Burke & Burke, LLP, New York, N.Y.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01606 Jon Supler, (Claimant) vs. Harrisdirect LLC, (Respondent) ATTORNEYS: Claimant appeared pro se, Raleigh, NC. For Respondent appeared in-house counsel, William B. Baran, Chicago, IL. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 5, 2005 CASE SUMMARY: Claimant alleged that Respondent cancelled an execution of a trade. Claimant maintained that due to Respondent's actions

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ottilia Dee Baldwin, Claimant, v. Case Number: 05-01600 Hearing Site: Indianapolis, Indiana William Blair & Company, LLC and Norman Libman, Respondents. Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Ottilia Dee Baldwin ("Baldwin"), hereinafter referred to as "Claimant": Andrew Stoltmann, Esq. of Stoltmann Law Offic

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant/Counter-Respondents Kay Mitchell, Personal Representative of the Estate of E.B. Cole and Respondents/Counter-Claimant Wells Fargo Investments, L.L.C., Wells Fargo Securities, Inc., and Robert Michael Graves, Jr. Case Number: 05-01598 Hearing Site: Oklahoma City, Oklahoma NATURE OF DISPUTE Customer v. Member Firm, Terminated Member and Associated Person an