Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hugo Chabaneix, Hideko Chabaneix, Kenneth Chin, Francisco Cubias, Aracely Hernandez, Dolores A. Herrera, Barbara Maxham, Eliseo Jose Mercado Gaitan, Emiko Okabe, Hector Ortega, Dan Shaw, Ana Judith Vela, Ever Lovato, Silvia Lovato, Mayra Lovato, Martha Barragan, Betty Lou Evans, Jeffrey Maynard, Larry Pennington, Jorge Montoya, Rosa L. Hernandez, Manuel A. Melgar and Joe Pernyeszi, Clai

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Ram A. Sharma and Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Sidhdharth D. Sheth, Michael D. Kortfelt and Merrill Lynch Case Number: 05-00027 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member, Associated Persons and Non-Member REPRESENTATION OF PARTIES Ram A. Sharma ("Claimant") was represented by Anthony V. Troga

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William Zeffiro and Lynne Wilson Zeffiro JTWROS (Claimant) vs. Mark Gladstone and Cantor, Weiss & Friedner, Inc. (Respondents) Case Number: 05-00024 Hearing Site: New York, New York. Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant William Zeffiro and Lynne Wilson Zeffiro JTWROS ("Zeffiro") hereinafter referred to as ("Claimant

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant UBS PaineWebber, Inc. Case No. 01-00426 Name of Respondent Steve E. Korman Hearing Site: Pittsburgh, Pennsylvania REPRESENTATION OF PARTIES Claimant, UBS PaineWebber, Inc. ("PaineWebber"), hereinafter referred to as "Claimant": Romaine L. Gardner, Esq., Attorney at Law, Staten Island, NY. Respondent, Steve E. Korman ("Korman"), hereinafter refer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Manikoth G. Kurup nf the Case Number: 05-00019 Wachovia Securities, LLC itp- Richmond, Virginia Nature of the Dispute: Customer vs. Member. RF.PRF.SFNTATTON OF PARTTF.S Claimant, Manikoth G. Kurup, hereinafter referred to as "Claimant", was represented by A. James Kauffinan, Esq. and Kenneth C. Griggs, Esq., Taylor, Hazen & Kaufman, PLC, Rich

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Raymond, James & Associates, Inc. and Scott Alan Lewis v. 05-00005 Houston, Texas Respondents Southwest Corporate Investment Services f/k/a CUSOURCE, LLC and Southwest Corporate Federal Credit Union Counter-Claimant Southwest Corporate Investment Services f7k/a CUSOURCE, LLC v. Counter-Respondents Raymond, James & Associates, Inc. and Scott A

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08853 Howard Wilkinson, (Claimant) vs. E*Trade Securities LLC, (Respondent) ATTORNEYS: Claimant appeared pro se, Desert Hills, AZ. For Respondent appeared Tom Delany, in-house counsel, E*Trade Securities LLC, Rancho Cordova, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: December 27, 2004 CASE SUMMARY: Claimant alleged that Respondent refused to pay the special dividend on

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Strand, Atkinson, Williams & York, Inc., Claimant v. Linda S. Green, Respondent Linda S. Green, Counter-Claimant v. Strand, Atkinson, Williams & York, Inc., Counter- Respondent Case Number: 04-08852 Hearing Site: Portland, Oregon Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent Strand

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeanne San Fanandre and Craig Justin TTEE for San Fanandre Justin Arch PC PSP (Claimant) v. Wachovia Securities, LLC (Respondent) Case Number: 04-08849 Hearing Site: New York City, New York Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant Jeanne San Fanandre and Craig Justin TTEE for San Fanandre Justin Arch PC PSP, ("San Fanandre Justin"), hereinafte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rose Marie Simak, as Executrix of The Estate of Frances Rose Nardillo (Claimant) vs. Nationwide Securities d/b/a Nationwide Advisory Services, Inc., and Francis J. Sherman (Respondents) Case Number: 04-08841 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Rose Marie Simak, as Executrix of The Estate of Fran