Stipulated Award NASD In the Matter of the Arbitration Between: Pamela A. Parzynski, TTEE, Pamela A. Parzynski, Rev Liv TST, U/A DTD 05-08-1997, and Pamela A. Parzynski, as Custodian for Marc R. Parzynski, Claimant v. American Investment Services, Inc., Jin "Lisa" Pan, and A. Philip Chang, Respondents Case Number: 01-00329 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Pamela A. Parzynski, TTEE, Pamela A. Parzynski, Rev Liv TST, U/A DTD

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gladys Darlene Obermiller, Claimant v. Bane One Securities Corporation, Leeann Patterson, and Deborah Spry, Respondents Case Number: 04-07447 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Nicolas J. Cornelius, Esq. Kendhammer & Colburn, L.L.P. Phoenix, Arizona For Respondents: Eliza

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wendy Niemann and ' ' Case Number:, 04-07446 Hearing Site: Milwaukee, Wisconsin Name of Respondent John W. Busey, II • , NATURE OF DISPUTE Customer v. Associate Person REPRESENTATION OF PARTIES Wendy Niemann ("Claimant") was represented by Sean Lanphier, Esq., Mallery & Zimmerman, SC, Milwaukee, Wisconsin.   ; ,'.'• ; ; , ''• ,

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Bane of America Investment Services, Inc., Claimant v. Thomas D. Bade, Respondent Case Number: 04-07444 Hearing Site: Phoenix, Arizona Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Ronald P. Kane, Esq. Kane & Fischer, Ltd. Chicago, Illinois For Respondent: Thomas D. Bade In Pro Per Peoria, Arizona CASE INFORMATION

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co. Inc. f/k/a Fahnestock & Co. Inc. (Claimant) vs. Clifford J. Pinner (Respondent) Case Number:04-07442 Hearing Site: New York, New York. Nature of the Dispute: Member vs. Associated Person. . . REPRESENTATION OF PARTIES Claimant Oppenheimer & Co. Inc. hereinafter referred to as "Claimant": Yosef Sinensky, Esq., Eric J. Shames, Esq., and Evelyn Bukchin, Esq., Oppe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Cllai'mant ' ' Case Nnmher 04-07440 Morgan Stanley DW, Inc. NamfiJ)f the Respondent Rearing Site: Pittsburgh, PA RayL.Dinkel Nature of the Dispute: Member vs. Associated Person. RFPRFSF,NTATTON OF PARTIES Claimant, Morgan Stanley DW, Inc., hereinafter referred to as "Claimant", was represented by Ronald P. Kane, Esq., Kane & Fischer Ltd., Chicago, Illinois. R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thp riaitnant ( Case Number; 04-07438 Ronald G. Mackley Names of the Respondents Hearing Site; Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Barry Mitchell Barbush Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRFSFNTATTON OF PARTIKS Claimant, Ronald G. Mackley, hereinafter referred to as "Claimant", was represented by Jo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07430 Jacqueline A. Roberts (Claimant) v. Nations Financial Group, Inc. and Bruce Feurig (Respondents) ATTORNEYS: Claimant Jacqueline A. Roberts ("Claimant") appeared pro se, Neenah, WL For Respondents Nations Financial Group, Inc. and Bruce Feurig (collectively "Respondents") appeared William T. McCartan, Esq., of the firm Bradley & Riley, PC, Cedar Rapids, LA. NATURE OF DISPUTE: Custom

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimants r.ase: Number 04-07428 Cynthia Waller-Booker Yvette Waller-Barnes Names of tne Respondents Hearing Site- Washington, D.C. First Union Capital Markets Corporation Wachovia Securities, LLC Harry L. Davis Nature of the Dispute: Customers vs. Member and Associated Person. RKPRFSFNTATTON OF PARTTF.S Claimants, Cynthia Waller-Booker ("Waller-Booker") and Y

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Damilola Olorunnisola (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith Inc. (Respondent) Case Number: 04-07426 Hearing Site: New York City, New York Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant Damilola Olorunnisola hereinafter referred to as "Claimant" appeared pro se. Respondent Merrill Lynch, Pierce, Fenner & Smith Inc., hereinafter ref