Award NASD Dispute Resolution r In the Matter of the Arbitration Between: Linda A. McBain and Robert H. Kozlowski, Individually and as Trustees of the Robert Kozlowski and Linda McBain Living Trust, Claimants v. Wedbush Morgan Securities Inc., Respondent Case Number: 04-07255 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES For Claimants: Brett A. Alcala Alcala Law Firm San Mat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: CRT Capital Group LLC ("Claimant") vs. OTA LLC (f/k/a OTA Limited Partnership) and Crown Financial Group, Inc. (f/k/a MH Meyerson & Co., Inc.) ("Respondents") Case Number: 04-07250 Hearing Site: New York, New York. Nature of the Dispute: Member vs. Members REPRESENTATION OF PARTIES CRT Capital Group LLC hereinafter referred to as "Claimant": Jay G. Strum, Esq., Kaye Scholer LLP,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ernest E. Pugh, Robert T. Jackson, John Paul Hanson, Joseph E. Cerri and Karen A. Gerri (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 04-07249 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Ernest E. Pugh ("E. Pugh"), Robert T. Jackson ("R. Jackson"), John Paul Hanson ("J. Hans

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Josephine Oliveri and The Estate of Frank Oliveri (Claimants) v. First Colonial Securities Group, Inc., Anthony Guglieri, Chee Eng, and Michael Golden (Respondents) Case Number: 01-00320 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Josephine Oliveri ("J. Oliveri") and The Estate of Frank Oliv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pat Desmond, Jr. and Ann Desmond, Claimants v. Citigroup Global Markets Inc. tfk/a Salomon Smith Barney Inc. and Paul A. Pollard, Respondents Case Number: 04-07242 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: John L. Monteleone, CPA Redondo Beach, California For Respondents: Ha

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Brian B. Devane and 04-07239 Chicago, Illinois Name of Respondents Bane of America Investment Services, Inc. Bank of America N.A. Bank of America Corporation Nature of the Dispute: Associated Person vs. Member, Non-Member. REPRESENTATION OF PARTIES Brian B. Devane ("Claimant") was represented by Peter Ordower, Esq., Chicago, Illinois. Bane of

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Fidelity Brokerage Services, LLC v. 04-07235 Houston, Texas Name of Respondent Lin A. Johnson NATURE OF THE DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Fidelity Brokerage Services, LLC ("Claimant") was represented by Jennifer A. Kenedy, Esq., of Lord Bissell Brook LLP, Chicago, Illinois. Lin A. Johnson ("Respondent" or "

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07227 S. Sy Sherr Names of the Respondents Hearing Site: Tampa, Florida UBS Financial Services, Inc. James Driggers Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For S. Sy Sherr, hereinafter referred to as "Claimant": Stephen Henry Kurvin, Esq., Sarasota, Florida. For UBS Financ

Award NASD Dispute Resolution In the Matter of the Arbitration Between: i Name of the Claimant Case Number: 04-07224 Peter F. Sansevero, Jr. Name of the Respondent Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Peter F. Sansevero, Jr., hereinafter referred to as "Claimant": James A. Bledsoe, Jr., Esq. and Tracey Leigh Henderson, Esq., B

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07222 Joseph Cole and Laura Cole, Claimants v. Primerica Financial Services d/b/a PFS Investments, Inc., Respondent ATTORNEYS: For Claimants Joseph Cole and Laura Cole (collectively "Claimants") appeared Debra Brewer Hayes, Esq., of the firm Woska & Hayes, LLP, Kingwood, TX. For Respondent Primerica Financial Services d/b/a PFS Investments, Inc. ("Respondent") appeared Marion H. Little,