Award NASD Dispute Resolution In the Matter of the Arbitration Between: Terral Yoder, (Claimant) vs. Glenn Michael Financial, Inc., Robert Cuillo, and Sean Mescall, (Respondents) Case Number: 01-00260 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant, Terral Yoder, hereinafter referred to as "Claimant": Gregory R. Elder, Esq., Barkan & Robon Ltd., Maumee, OH. Respondents, Glenn Michael Financial, Inc. ("GMF") and Robert Cuillo ("Cuill

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:00-00592 Jamel Bourazak and Joyce Bourazak, claimants vs. A.G. Edwards & Sons, Inc. and Thomas Henrichs, respondents. ATTORNEYS: For Claimants Jamel Bourazak and Joyce Bourazak appeared Lee C. Graves, Esq., Peoria, IL. For Respondents A.G. Edwards & Sons, Inc. and Thomas Henrichs appeared, in-house counsel, M. Jane Matoesian, Esq., St. Louis, MO. DATE FILED: February 10, 2000 CASE

NASD DISPUTE RESOLUTION AWARD WASP DISPUTE RESOLUTION CASE: 04-05770 Surcsh Marisetty (Claimant) v. E*Tradc Securities, Inc. (Respondent) ATTORNEYS: Claimant Suresh Marisetty ("Claimant") appealed pro se> Fremont, CA, For Respondent B*Tradc Securities, Inc. ("Respondent") appeared John Bersm, Esq., in-house counsel, E*Trade Securities, Inc., Rancho Cordova, CA. NATURE OF DISPUTE: Customer vs. Member. DATE FILED: August 9,2004. CASE SUMMARY: Clai

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05769 Morton I. Zeff Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Marc Tamse Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Morton I. Zeff, hereinafter referred to as "Claimant": Randall Place, Esq. and Scott Silver, Esq., Blum and Silver

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Geraldine E. Rust Randall W. Rust, Custodian for Geraldine E. Rust Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Michael R. Crossett Marion Moore D.H. Rice Case Number: 04-05752 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Billy F. and Judy Adams and Case Number: 04-05747 Hearing Site: Houston, Texas Names of Respondents Morgan Stanley DW, Inc., and Constance Carpeno Paddock NATURE OF DISPUTE Customers v. Member Firm and Associated Person OF PARTS Billy F. and Judy Adams ("Claimants") were represented by Donald M. Feferman, Esq., The Law Office of Donald M. Fe

NAS0 DISPUTE RESOLUTION AWARP NASP DISPUTE RESOLUTION CASE: tW-05743 Michael Fedenco, Cynthia Federico, aod Darle&e Federico (Claimants) v. Wachovia Securities, LLC and Tom Morrison (Respondents) ATTORNEYS; Claimant* Michael Fededco, Cynthia Federico, and Dartoe Federico (collectively "'Claimants") appeared prose through Cynthia Federico, Smi&towu, NY, For Respondents Wachovia Securities, IXC and Tons Morrison (coilcctively "Respondents 11 )

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Darlene A. Schwartz Names of the Respondents Wachovia Securities, LLC Prudential Securities Inc. d/b/a Prudential Equity Group, LLC Case Number: 04-05726 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Darlene A. Schwartz, hereinafter referred to as "Claimant": Philip J. Snyderburn, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05725 Wachovia Securities, LLC Name of the Respondent Hearing Site: Atlanta, Georgia Frederick L. Bryant Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Jonathan E. Levine Esq., Law Office of Daniel S. Fiore, Arlington, Virginia. For Fr

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lon Roth and Peggy Roth, (Claimants) v. JP Turner & Company, LLC, John Barone and Rushdi Zalatimo, (Respondents) Case Number: 04-05706 Hearing Site: Dallas, Texas Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Lon Roth ("Mr. Roth") and Peggy Roth ("Mrs. Roth"): Brian Guillorn, Esquire, New York, New York. Resp