Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Glenn A. Fishman vs. Werner Haase Irrevocable Trust Case Number: 04-02670 Nature of Dispute: Associated Person vs. Customer REPRESENTATION OF PARTIES Claimant, Glenn A. Fishman ("Claimant") appeared through Matthew Tracy, Esq., of the firm Winget, Spadafora & Schwartzberg, LLP, New York, NY. Respondent, Werner Haase Irrevocable Trust ("Respondent") appeared through Am

CASE: 04-02669 Edward Goetz, Claimant v. Edward Morawiec, Maria Morawiec, Joanna Moraweic, and Donna Morawiec Respondents. ATTORNEYS: For Claimant, Edward Goetz, ("Claimant"), appeared Timothy Feil, Esq., of the firm Finkelstein & Feil LLP, Garden City, New York. For Respondents, Edward Morawiec, Maria Moraweic, Joanna Moraweic and Donna Moraewic (collectively "Respondents") appeared Michael P.Gilmore, Esp., of the firm Sims, Moss, Kleine & Davis, LLP.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: •Kfarnft nf the TlaimaTit Page Number: 01-00016 First Union Securities, Inc., Name nf the Respondent Hearing Rite: Houston, Texas Thomas York, PFPKFSKW Tn Claimant First Union Securities, Inc, hereinafter referred to as "Claimant," was represented by Diane C. Fisher, Esq. and Thomas M. Volz, Esq. of Kane & Fisher located in Chicago, Illinois. Respondent Thomas York, here

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ida Epstein vs. Stephen Goodwin Case Number: 04-02666 REPRESENTATION OF PARTIES Claimant, Ida Epstein ("Claimant") appeared through Matthew Tracy, Esq., of the firm Winget, Spadafora & Schwartzberg, LLP, New York, NY. Respondent, Stephen Goodwin ("Respondent") appeared pro se, Jupiter, FL CASE INFORMATION Statement of Claim filed on or about: April 12, 2004. N

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jason Zahtila (Claimant) v. Commerce One Financial, Inc., f/k/a Murjen Financial Inc., and Thomas J. Jennings Case Number: 04-02664 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Jason Zahtila hereinafter referred to as "Claimant": Phillip Raible, Esq., Mintz and Gold, New York, NY.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number 04-02659 John F. Kennedy and Mary E. Kennedy, JTWROS John F. Kennedy, IRA Name nf the Respondent Hearing Site: Charlotte, NC Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customers vs. Member. RFPRFSFNTATTON OF PARTTFS Claimants, John F. Kennedy and Mary E. Kennedy, JTWROS and John F. Kennedy, IRA, hereinafter colle

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard J. Miller and Theresa A. Miller and 04-02658 Kansas City, Missouri Name of Respondents AXA Advisors LLC The Equitable Life Assurance Society of the United States Nature of the Dispute: Customer vs. Member and Terminated Member. REPRESENTATION OF PARTIES Richard J. Miller and Theresa A. Miller ("Claimants ") were represented by Jane L. Stafford

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ian Hurwitz and Names of Respondents Terry L. and John Paul Sarvis Case Number: 04-02654 Hearing Site: Houston, Texas NATURE OF DISPUTE Associated Person v. Customer REPRESENTATION OF PARTIES Ian Hurwitz ("Claimant") was represented by Jack D. Ballard, Esq., The Ballard iaw Firm, Houston, Texas. On or after Daniel R. Kirshbaum, Esq., Axelrod,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Namp nfthfr r]pimgnt C^f WntT|Kp r 04-02648 Barbara L. Frank Hearing Sit p ' Dallas, Texas. Donald Sherman Becker Customer v. Associated Person OT? Claimant Barbara L. Frank, hereinafter referred to as "Claimant": Paul N. Young, CEO, Securities Arbitration Group, Inc., located in Los Angeles, California. Respondent Donald Sherman Becker, hereinafter refer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Chinni (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 04-02640 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Charles Chinni ("Chinni") hereinafter referred to as "Claimant": Nicholas K. Notias, Esq., Capetanakis & Preite, LLP, New York, NY. Respondent Merrill Lynch, Pie