Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Cast* Number 04-08579 New England Securities Corporation New England Life Insurance Company Names of the Respondents Hearing Site: Wilmington, DE Jeffery T. Bonifacino, Richard Hewitt, Robert Porter, Michael A. Alfonso, William W. Ilgenfritz, and Samuel A. Phillips. Nature of the Dispute: Member and Non-Member vs. Associated Person. RFPRF.SETVTATrO

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-08575 Anthony Oliva Barbara Oliva Names of the Respondents Hearing Site: Atlanta, Georgia Morgan Stanley DW, Inc. Joseph Michael Angioi Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Anthony Oliva and Barbara Oliva, hereinafter collectively referred to as "Claimants": Henry D. Fel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kevin Flannery, Claimant v. Wachovia Securities, LLC and Douglas J. Wride, Respondents Case Number: 04-08571 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Robert K. Rothfeder, Esq. Winder & Haslam Salt Lake City, Utah For Respondent Wachovia Securities LLC: William Mark, Esq. Mic

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joshua S. Cunningham and Case Number, 04-08568 Hearing Site: Houston, Texas Names of Respondents Edward D. Jones & Co. and • '. , Stanley Alvin Cunningham . NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Joshua S. Cunningham ("Claimant") was represented by Lisa L. Fountain, Esq'., The Law Office of Li

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08556 Anthony V. Serba (Claimant) v. D. Mark Tidwell (Respondent) ATTORNEYS: Claimant Anthony V. Serba ("Claimant") appeared pro se, Houston, TX. For Respondent D. Mark Tidwell ("Respondent") appeared Keith Lorenze, of the firm Ogden, Gibson, White, Broocks & Longoria, LLP, Houston, TX. NATURE OF DISPUTE: Customer vs. Associated Person. DATE FILED: December 15, 2004. CASE SUMMARY: Cl

OCT. 3.ZG01 12156PM NPSD REGULATION . NO.431 P.3/9 » NATIONAL ASSOCIATION OF SECURITIES Di^JLERS, ISC- ROBERTA M. NELSON", Individually and a* Trustee of the Roberta M. Nelson Revocable \ Trust, RAY BARNETT and IBs Wife ADELLE E. BABNETT, JAMES LINDSEY, and his wife MARY LOU LENDSEY, ALEXANDER A LOBATO, and CLIFFORD IvL SIMS> JR. and Trustees of the Clifford M. Sims, Jr. Revocable living Trust Claimants v, EDGAR L. MCLEAN • a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00613 Scot K. Wulbert Trust, claimant vs. Harris Investors Direct and Harris Bank Chicago, respondents. ATTORNEYS: Claimant appeared through its Trustee, Scot K. Wulbert, Pro Se, Harrington, IL. For Respondent Harris Investors Direct appeared Randall M. Lending, Esq., of the firm Vedder, Price, Kaufman & Kammholz, Chicago, IL. DATE FILED: February 11, 2000 CASE SUMMARY: Claiman

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Thomas D. McElgunn, Special Fiduciary for the Estate of Alante Denzel King, a Protected Person Minor, in Place of the Suspended Conservator Angela DeMay Williams a/k/a Angela Williams and Respondents UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc., and Ramzi Boyd Case Number: 04-08555 Hearing Site: Detroit, Michigan NATURE OF DISPUTE

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants David W. Dorsett, Michelle L. Dorsett, James E. Dorsett and Regina Dorsett and Names of Respondents Birchtree Financial Services, Inc., Roan-Meyer Associates, LP, and Charles Dwain Davis, Jr. Case Number: 04-08543 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers vs. Members and Associated Person REPRESENTATION OF PARTIES Davi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Millani Lew and Glenn Lew, Claimants v. UBS Financial Services Inc. (f/k/a UBS Paine Webber Inc.), Respondent Case Number: 04-08538 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Steven D. Toskes, Esq. Klayman & Toskes, P.A. Boca Raton, Florida For Respondent: Shont E. Miller, Esq. Munger Tolles &