Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Sheets Living Trust u/a dtd 4/04/90, Claimant v. Torrey Pines Securities, Inc. and William F. Gunderson, Respondents Case Number: 05-00825 Hearing She: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California For Responde

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00823 Ronald C. Mueller, (Claimant) vs. Prudential Equity Group, LLC, (Respondent) ATTORNEYS: " Claimant appeared pro se, Yorba Linda, CA. For Respondent appeared in-house counsel Carole A. McDonald, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: February 11, 2005 CASE SUMMARY: Claimant alleged that Respondent placed him in investments that were unsuitable for

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Laverne Gore and Case Number: 05-00820 Hearing Site: Houston, Texas Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Laverne Gore ("Claimant") was represented by Celeste M. Chiaramonte, Esq. and Juan Harold, Esq., Woska & Hayes, LLP, Kingwood, Texas. Merrill Lynch Pierce Fenner & Smith

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00486 William J. Melzer, claimant vs. Mark Pressman Associates, respondent. ATTORNEYS: Claimant appeared Pro Se, Mendocino, CA. For Respondents appeared Mark Pressman, President, San Francisco, CA. DATE FILED: January 30, 2001 CASE SUMMARY: Claimant alleged that respondent, upon closing his firm, breached the employment agreement by failing to provide the required investment banking

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00078 Leonard B. Stern, claimant vs. Win Capital Corporation and Jerome Feldman, respondents. ATTORNEYS: For Claimant, Leonard B. Stern ("Claimant"), appeared Robert J. Pouison, Jr. Esq. Cooperstown, NY. Respondents, Win Capital Corporation and Jerome Feldman ("Respondents"), appeared through their Compliance Director, Mark Straubel, Bayville, NY. DATE FILED: January 10, 2000 C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-00814 Memory G. Bryant Names of the Respondents Hearing Site: Birmingham, Alabama UBS Financial Services Inc. Morgan Keegan & Company Inc. Malon Murray Wickham Nature of the Dispute: Customer vs. Member and Associated Person, REPRESENTATION OF PARTIES Memory G. Bryant, hereinafter referred to as "Claimant", appeared pro se. For Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Tantillo and Mary Tantillo JTWROS, and Mary E. Tantillo IRA, Claimants v. Brandon T. York, Dorothy J. Gorton and Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondents Case Number: 05-00797 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: James and Mary Tantillo Milp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joan Levin, Claimant v. Wedbush Morgan Securities, Inc., Respondent Case Number: 05-00794 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Richard A. Stephens, Esq. Attorney at Law Boca Raton, Florida For Respondent: Stephen Young, Esq. Audette Paul Morales, Esq. Keesal, Young and Logan Long

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Marie Diana (Claimant) vs. Advest, Inc. and Edward Carlsen, Sr. (Respondents) Case Number: 05-00784 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Marie Diana ("Diana") hereinafter referred to as "Claimant": Kevin Szanyi, Esq., and Michael P. McClaren, Esq., Webster Szanyi LLP, Buffalo, NY. Resp

Revised Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant ' John Edward Hoch Name of the Respondent Wachovia Securities, LLC age Number' 05-00777 Hearing Site- Philadelphia, PA Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant, John Edward Hoch, hereinafter referred to as "Claimant", was represented by Thomas J. Momjian, Esq., Coss & Momjian, LLP,