NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08729 Alan D. Brewer and Barbara T. Brewer, (Claimants) vs. Michael M. Duprez (Respondent) ATTORNEYS: Claimants appeared pro se, Franklin, TN. Respondent appeared pro se, Franklin, TN. NATURE OF DISPUTE: Customers vs. Associated Person DATE FILED: December 22, 2004 CASE SUMMARY: Claimants alleged misrepresentations and failure to disclose material facts regarding the switching of inv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gene Goddard (Claimant) v. Legg Mason Wood Walker, Inc. (Respondent) Case Number: 04-08728 Hearing Site: Cleveland, Ohio Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant Gene Goddard hereinafter referred to as "Claimant": James A. DeRoche, Esq., Garson & Associates Co., L.P.A., Cleveland, OH. Respondent Legg Mason Wood Walker, Inc. hereinafte

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bruce Andrew Merino and Marielena Merino, Claimants v. Round Hill Securities, Inc., Robert Jay Holub, Gerald Hart Burchard, Jr., Robert S. Minka, Thomas Joseph Sboto, and Bear, Stearns Securities Corp., Respondents v. Martin Greenwood, Third-Party Respondent Case Number: 01-00414 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Theo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08720 Steven F. Santee, (Claimant) vs. Frank Anthony Passarella and Paul Richard Pasarella, (Respondents) ATTORNEYS: Claimant appeared pro se, Charlotte, NC. Respondent Frank Anthony Passarella did not submit an Answer to the Statement of Claim. For Respondent Paul Richard Passarella appeared Harry J. Delagrarnmatikas, Esq., New York, NY. Respondents Frank Anthony Passarella and Paul

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary E. Mariscal IRA, Claimant v. Prudential Equity Group, LLC and David H. Rascoe, Respondents Case Number: 04-08713 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialists San Diego, California For Respondents: Charles B. LaChaussee, Es

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants James G. Xilas XLS Argus Venture Group, LLC Names of the Respondents ' Merrill Lynch, Pierce, Fenner & Smith Incorporated William Wong Oppenheimer & Co., Inc. Dennis P. McNamara Allen R. Holeman Emil J. Jutrowski James F. Lowe Michele A. Grassi Case Number: 04-08692 Hearing Site: Boca Raton, Florida Nature of the Dispute: Cu

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' Name of Claimant - • - • . . . ' • • Edward M. Mohr, Jr. and ' , . ' , 04-08689 1 , . , , . Chicago, Illinois Name of Respondents . Morgan Stanley DW Inc. • , ' Robert William Welnhofer . . Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Edward M. Mohr, Jr. ("Claimant") was represented by.Laurence M. Landsman, Esq. and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant D. Gene Meredith Name of the Respondents Edward D. Jones & Co. and Rick L. Duncan Case Number: 04-08682 Hearing Site: St. Louis, Missouri Nature of the Dispute: Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES D. Gene Meredith ("Meredith") hereinafter referred to as "Claimant": Steven Koslovsky, Esq. of Maryland Height

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08670 Nelson E. White, (Claimant) vs. Citigroup Global Markets, Inc., (Respondent) ATTORNEYS: For Claimant appeared Jan Graham, Esq., of the firm The Law Offices of Jan Graham, Salt Lake City, UT. For Respondent appeared A. Jamie Schupp, Esq., of the firm Neal, Gerber & Eisenberg, LLP, Chicago, IL. NATURE OF DISPUTE: Customer vs. Member " DATE FILED: December 17, 2004 CASE SUMMAR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stefan J. Chemeski (Claimant) vs. UBS Financial Services Inc. and Stephen Skinner (Respondents) Case Number: 04-08667 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Stefan J. Chemeski hereinafter referred to as "Claimant": Richard S, Order, Esq., Axinn, Veltrop & Harkrider LLP, Hartford, CT.