Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Charles J. Hazlett Names of the Respondents Wachovia Securities, LLC Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated Case Number: 04-08628 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Charles J. Hazlett, hereinafter referred to as "Claimant": Richard M. Bales

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Beiton O. Watson and Respondents SunAmerica Securities, Inc., Shirell L. McNee. and David Tapper Case Number: 04-08622 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Beiton O. Watson ("Claimant") was represented by Lawrence M. Elkus, Esq., Law Office of Lawrence M. E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-08621 UBS Financial Services Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Akhtar Zaman Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Services Inc., hereinafter referred to as "Claimant": Lisa A. Catalano, Esq., Davidson & Grannum, LLP, Orangeburg, New York. Respondent Ak

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of thft r!laimants Dean Surnma Tamara Romanini Summa Names nfthe Respondents Wachovia Securities, LLG Robert B. Fitzpatrick rase Number: 04-08618 ng Site- Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person. RRPRF.SFNTATIOM OF PARTIES Claimants, Dean Summa and Tamara Romanini Summa, hereinafter collectively referred

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jason Klabai, (Claimant) vs. Israel Katcher and Katcher Enterprises, (Respondents) Case Number: 01-00407 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Jason Klabai, hereinafter referred to as "Claimant": Malcolm Taub, Esq., Taub & Showman LLP, New York, NY. Previously represented by: Pamela Budin, Esq., Malcolm S. Taub, LLP, New York, NY. Respondent,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-08609 Edgar Botero-Henao Amparo Botero de Malkun Lucila Henao de Botero Katherine Prieto de Botero Edgar Botero as Custodian for Edgar Felipe Edgar Botero as Custodian for Stephanie Botero Edgar Botero as Signatory for Inversiones Kierans Ltda. Edgar Botero as Custodian for Alexandria Botero Edgar Botero as Custodian for Alexand

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08600 Jacques Mertens, (Claimant) vs. Ameritrade, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Belgium. For Respondent appeared in-house counsel, James J. Vihstadt, Omaha, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: December 16, 2004 CASE SUMMARY: Claimant alleged that Respondent communicated inaccurate information to the IRS, causing Claimant to have to pay pen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Camilo F. Jimenez (Claimant) v. UBS Securities, LLC (Respondent) Case Number: 04-08599 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Camilo F. Jimenez ("Jimenez") hereinafter referred to as "Claimant": Appeared pro se. Respondent UBS Securities, LLC ("UBS") hereinafter referred to as "Respondent": Rachel M.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-0858? Clatk Street Capitol, Inc. (Claimant) v. Adam Heng (Respondent) ATTORNEYS: For Claimant Clark Street Capital, Inc. ("Claimant* 9 } appeared M. David Sayid, Esq., Said and Associates, LLP, New York, NY, Respondent Adam Heng ("Respondent") did not submit a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: December 20, 2004. CA

Stipulated Award NASD Dispute Resolution IRA FBO KENNETH R. LEESON , DLJSC AS CUSTODIAN ROLLOVER ACCOUNT, IRA FBO KENNETH R. LEESON, DLJSC AS CUSTODIAN, and KENNETH R. LEESON AND PATRICIA I. LEESON AS JOINT TENANTS NASD Case No. 04-08582 Hearing Site: Milwaukee, Wisconsin Claimants, vs. B.C. ZIEGLER AND COMPANY and DAVID C. KOVALASKE, Respondents. NATURE OE THE DISPUTE Customers vs. Member Firm and Associated Person