Award NASD Dispute Resolution In the Matter of the Arbitration Between: S. Robi Dutta and Jayati Dutta, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Case Number: 04-05423 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES For Claimants: James H. West, Esq. West & Costello, LLC Baltimore, Maryland For Respondent: Eric J. Glassman, Esq. Mennemeier, Gl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Imogene S. Kaufert, Claimant v. H. D. Vest Investment Services, Inc. and Beler Huy Watts, Jr., Respondents Case Number: 04-05422 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: In Propria Persona Pine Grove, California For Respondents: Thomas F. Kopshever, Esq. Wells Fargo Law

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert J. Fogarty, Claimant v. Fidelity Brokerage Services LLC, Respondent Case Number: 04-05418 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant Robert J. Fogarty: Howard S. Meyers, Esq. Meyers & Heim, LLP New York, New York For Respondent Fidelity Brokerage Services LLC: Corin R. Swift, Esq. and Don Davi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Harry A. Goodwin Name nf the Wachovia Securities, Inc. f!ase Number 04-05416 Hearing Site: Raleigh, North Carolina Nature of the Dispute: Customer vs. Member. RF.PRF.SF.NTATION OF PARTIES Claimant, Harry A. Goodwin, hereinafter referred to as "Claimant", was represented by Darryll Walter Bolduc, Esq., The Bolduc Law Firm, PLLC, Charlotte, North C

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Edward H. Martin and Joyce V. Martin and 04-05414 Nashville, Tennessee Name of Respondents Wachovia Securities, LLC Allan Minton Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Edward H. Martin and Joyce V. Martin ("Claimant") were represented by Thomas C. Jessee, Esq., Jessee & Jessee, Johnson City, Te

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities, Inc., (Claimant) vs. Daniel Bushey, Jr., (Respondent) Case Number: 01-00233 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, First Union Securities, Inc., hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, IL. Respondent, Daniel Bushey, Jr., hereinafter referred to as "Respondent": David S. Erdos,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: 04-05412 Edward M. Rubio p T?p|gpnnHpntg/Pmmtnr-mqjniflnts fT p flrJTifi S^f Dallas, Texas Lincoln Financial Advisors Corp.; The Lincoln National Life Ins. Co.; and, Charles Gary Shimmin NATURE Associated Person v. Member Firms and Associated Person ppy< 2\TATinN Claimant/Counter-Respoiiderit Edward M. Rubio, hereinafter referred to as "Rubio": Karen Jewel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Raike Financial Group, Inc. (Claimant) v. David Rondeau, Marcus Hartel, and Gary Waye II (Respondents) Case Number: 04-05407 Hearing Site: Buffalo, New York Nature of the Dispute: Member vs. Associated Persons REPRESENTATION OF PARTIES Claimant Raike Financial Group, Inc. ("Raike Financial") hereinafter referred to as "Claimant": Christopher Casdia, Chief Operating Officer, Raik

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants B&G Tobacco & Candy Co., Inc., Eisa Ganim, Shihadeh Ganim, Ibrahim Ganim, Mazen Ganim, Issa Baba, Baba Family Partnership, Ltd., and Ibrahim & Mazen Ganim Family Partnership, Ltd. and Case Number: 04-05397 Hearing Site: Houston, Texas Names of Respondents McDonald Investments, Inc. and Rita Mansour NATURE OF DISPUTE Customers v. Member Firm

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant. Wanda Wiseman vs. Case Number: 04-05380 Names of Respondents, Hearing Site: Houston, Texas Merrill Lynch, Pierce, Fenner & Smith Incorporated And Branson Bywaters. NATURE OF DISPUTE Customer versus Member and an Associated Person. REPRESENTATION OF PARTIES Claimant, Wanda Wiseman, hereinafter referred to as "Claimant": Jeanne Crandall, Es