NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08820 David Lemer Associates, (Claimant) vs. Brendan Goodrich, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Thomas J. Ruhle, Jr., Syosset, NY. Respondent appeared pro se, Durham, CT. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: December 30, 2004 CASE SUMMARY: Claimant alleged that Respondent breached the terms of an Account Executive Agreement by faili

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claimant Ca.^ Number 04-08817 Mary Davis and Donna Jean Prior NRTTIP; of thp ftpgpnnHeriT Hearing Site: St. Louis, Missouri A.G. Edwards & Sons, Inc. NATTTRF OF TTF Public Customers v. Member Firm < "> Claimants Mary Davis ("Davis") and Donna Jean Prior ("Prior**), hereinafter collectively referred to as "Claimants": Donald J. Mehan, Esq. of the firm of Moline, Shostak &

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00425 Thomas Leahy, claimant vs. J.W. Barclay & Co. and John Bruno, respondents. ATTORNEYS: Claimant appeared Pro Se, Las Vegas, NV. For Respondents appeared John Bruno, President, Woodbridge, NJ. DATE FILED: January 26, 2001 CASE SUMMARY: Claimant alleged that respondents failed to timely execute the transfer of his account, thereby causing a loss. COUNTERCLAIM: Respondent in i

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08815 Ryan Beck & Co. (Claimant) v. Robert Aragon (Respondent) ATTORNEYS: For Claimant Ryan Beck & Co. ("Claimant") appeared Jeffrey Cohen, Esq., in-house counsel, Ryan Beck & Co., Livingston, NJ. Respondent Robert Aragon ("Respondent") did not submit a Statement of Answer in this matter. NATURE OF DISPUTE: Member vs. Customer. DATE FILED: December 31, 2004. CASE SUMMARY: Claimant al

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Rose Cirrincione and 04-08807 Chicago, Illinois Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Salvatore Frank Guagliardo Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Rose Cirrincione ("Claimant") was represented by Steven B. Nagler, Esq., Northbrook, Illinois. Merrill Lynch Pierce Fenn

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Thomas Whalen and Case Number: 04-08806 Hearing Site: Oklahoma City, Oklahoma Name of Respondent . UBS Financial Services, Inc., f/k/a UBS PaineWebber, Inc. NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES Thomas Whalen {"Claimant") was represented by Charles Hunter, Esq., Woska & Hayes, LLP, Kingwood, Texas. \ i * '• ' '

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Cynthia Reithel and Name of Respondent Morgan Stanley DW, Inc. 1 Case Number: .04-08804 Hearing Site: Chicago, Illinois NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Cynthia Reithel ("Claimant") Was represented by James A. McGurk, Esq., The Law Offices of James A. McGurk,. PC,. Chicago, Illinois,. ' .'."'•;

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Penson Financial Services, Inc., Claimant v. Eel River Investment Company, Respondent Case Number: 04-08802 Hearing Site: Seattle, Washington Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For Claimant Penson Financial Services, Inc.: Wm. David Simmons, Esq. McGuire, Craddock & Strother, P.C. Dallas, Texas For Respondent Eel River Investme

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thfr Claimant Page Number 04-08799 Carol Ann Mclnerney nf the RpgpnnHpntg Hearing Site- Philadelphia, PA Morgan Stanley DW, Inc. Citigroup Global Markets, Inc. Jack Zotti Nature of the Dispute: Customer vs. Members and Associated Person. RFPRFSFNTATTON OF PARTTRS Claimant, Carol Ann Mclnerney, hereinafter referred to as "Claimant", was represented by Chad N. Cagan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Andrew Andrews (Claimant) vs. Prudential Securities, Inc. n/k/a Wachovia Securities, Prudential Securities, Inc.. n/k/a Prudential Equity Group LLC and Abram Gorsuch (Respondents) Case Number: 04-08797 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimant Andrew Andrews hereinafter referred to as "Cl