NASD REGULATION Award NASD Dispute Resolution In the Matter of the Arbitration Between: i Daniel J. Chiljean (Claimant) vs. Merrill, Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 05-00648 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Daniel J. Chiljean hereinafter referred to as "Claimant": Robert T. Barnard, Esq., Thompson & Hine, New York, NY. Previously

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fidelity Brokerage Services, Inc. (Claimant) v. William A. Stockwell and Linsco/Prrivate Ledger Corp. (Respondents) Case Number: 05-00644 Hearing Site: Boston, Massachusetts Nature of Dispute: Member v. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Fidelity Brokerage Services, Inc ("Fidelity") hereinafter referred to as "Claimant": P. Russell Perdew

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00639 Beth Klar, (Claimant) vs. UBS Financial Services Inc., (Respondent) ATTORNEYS: For Claimant appeared Gregory S, Tendrich, Esq., of the firm Law Office of Gregory S. Tendrich, P.A., Boca Raton, FL. For Respondent appeared in-house counsel Edward Durkin, Esq., Weehawken, NJ. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 21, 2005 CASE SUMMARY: Claimant alleged that bec

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00638 Lincoln Investment Planning, Inc., (Claimant) vs. William F. Donahue, (Respondent) ATTORNEYS: For Claimant appeared Scott H. Wolpert, Esq., of the firm Timoney Knox, LLP, Fort Washington, PA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person ~ DATE FILED: February 1, 2005 CASE SUMMARY: Claimant alleged that Respondent

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ralph Miller, Claimant v. Sutro & Co., Incorporated and Timothy L. Jensen, Respondents Case Number: 01-00464 Hearing Site: Portland, OR REPRESENTATION OF PARTIES For Claimant: Steven M. Wilker, Esq. Tonken Torp, LLP 1600 Pioneer Tower 888 SW Fifth Avenue Portland, OR 97204 For Respondents: Thomas V. Dulcich, Esq. Schwabe, Williamson & Wyatt, P.C 1211 S.

Award NASD Dispute Resolution fn the Matter of the Arbitration Between: A. G. Edwards & Sons, Inc. (Claimant) vs. Charles J. Cavanaugh (Respondent) vs. Citigroup Global Markets, inc. (Third Party Respondent) Case Number: 05-00637 Hearing Site: Hartford, Connecticut Nature of the Dispute: Member vs. Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant A. G. Edwards & Sons, Inc. ("Edwards") hereinafter referred to as "Claimant": Nuviah Shi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-00621 Wachovia Securities, L.L.C. i Name of the Respondent Hearing Site: Orlando, FL Marcel Pope Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, L.L.C. ("Wachovia"), hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, Arlington, VA.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00609 Oppenheimer & Co. Inc., (Claimant) vs. David E. Boni, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel, Eric J. Shames, Esq., New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 2, 2005 . ^.« . _ . CASE SUMMARY: Claimant alleged that Respondent breached the terms of a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup -Global Markets Inc. f/k/a Salomon Smith Barney Inc., Claimant v. Stephen B. Cuomo, Respondent Case Number: 05-00608 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Steven T. Masada, Esq. Hillis Clark Martin & Peterson Seattle, Washington For Respondent: Stefanie H. Clement, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lester E. Fontaine and Carolyn P. Fontaine (Claimants) vs. Morgan Wilshire Securities, Inc., Brian Mandart and Michael Finnan (Respondents) Case Number: 05-00607 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Lester E. Fontaine (" L. Fontaine") and Carolyn P. Fontaine ("C. Fontaine") hereinafter