Award NASD Dispute Resolution In the Matter of the Arbitration Between: Viktor Suslovsky, Claimant v. Credit Suisse First Boston LLC, Thomas M. Galvin and Frank P. Quattrone, Respondents Case Number: 05-00101 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: For Respondent Credit Suisse First Boston LLC: For Respondent Thomas M. Galvin: For Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-00095 Norb Yenish Thomas J. Yenish Names of the Respondents Hearing Site: Tampa, Florida Kevin Kamrowski US Bancorp Piper Jaffray Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Norb Yenish ("Norb Yenish") and Thomas J. Yenish ("TJ Yenish"), hereinafter collectively referred to as "Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Albert L. Potter II and FBO Albert L. Potter II SEP (Claimants) vs. Edward Jones (Respondent) Case Number: 05-00089 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Albert L. Potter II ("Potter") and FBO Albert L. Potter II SEP ("Potter SEP") hereinafter referred to as "Claimants": David P. Meyer, Esq., Meyer & Associates C

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-00427 Paine Webber Incoporated, claimant vs. Morgan Pridemore, respondent. ATTORNEYS: For Claimant appeared Romaine L. Gardner, Esq., Staten Island, NY. Respondent did not appear. DATE FILED: January 26, 2001 CASE SUMMARY: Claimant alleged respondent made an unsolicited buy of 50,000 shares of Orthalliance Inc-CLA and failed to pay for said shares creating a debit balance in his ac

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00077 Bette Baer (Claimant) v. Garden State Securities, Inc. and Wells Fargo Investments, LLC (Respondents) ATTORNEYS: Claimant Bette Baer ("Claimant") appeared pro se, Lambertville, NJ. For Respondent Garden State Securities, Inc. appeared Christopher J. Lane, Vice President, Garden State Securities, Inc., Wall, NJ. For Respondent Wells Fargo Investments, LLC appeared Thomas F. Kopsheve

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00068 Lidia S. Lavallen (Claimant) v. Wells Fargo Investments, LLC ATTORNEYS: Claimant Lidia S. Lavallen ("Claimant") appeared pro se, Las Vegas, NV. For Respondent Wells Fargo Investments, LLC ("Respondent") appeared Thomas F. Kopshever, Esq., in-house counsel, Wells Fargo Investments, LLC, San Francisco, CA. NATURE OF DISPUTE: Customer vs. Member. DATE FILED: January 5, 2005. CASE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: •Nfamp nf fh» Plaimant Case Niimhflr 05-00058 Claudia C. Coleman Namp nf flip RpgpnnHpnt Hiring Site- Raleigh, NC Wachovia Securities, LLC Nature of the Dispute: Customer v. Member. RFPRFSF.NT ATTON OF PAHTIF.S Claimant, Claudia C. Coleman, hereinafter referred to as "Claimant", was represented by Mathew E. Bates, Esq., Attorney at Law, Greensboro, North Carolina Respond

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: David G. Stitt, Claimant v. Piper Jaffray & Co., John H. Gonnason, and Robert A. Peterson, Respondents Case Number: 05-00055 Hearing Site: Seattle, Washington Nature of the Dispute: Associated Person v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant David G. Stitt: John A. Bender, Esq. Ryan, Swanson & Cleveland, PLLC Seattle, Washington

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank Carlino, Claimant v. Greenberg Financial Group, Inc. i7k/a Greenberg Nehls & Company, Inc., Respondent Case Number: 05-00034 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Mark D. Lammers, Esq. Lammers & Barkley, P.C. Tucson, Arizona For Respondent: Harris L. Kay, Esq. LeClair Ryan Richmond,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-00030 UBS Financial Services Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Steven Levin Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Services Inc., hereinafter referred to as "Claimant": Sandra Grannum, Esq., Davidson & Grannum, LLP, Orangeburg, New York. For Steven L