Award NASD Dispute Resolution In the Matter of the Arbitration Between: H.D. Brous & Co., Inc. (Claimant) v. Robert Rossi, Jr. (Respondent) Case Number: 04-02471 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant H.D. Brous & Co., Inc. (H.D. Brous") hereinafter referred to as "Claimant": Robert Giacovas, Esq., Lazare Potter Giacovas & Kranjac, LLP, New York, NY. Respondent Robert

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant S. Wayne Tucker Names nf the Respondents UBS Financial Services, Inc. Richard John Ballou Case Number- 04-02469 Hearing Sitp: Charlotte, North Carolina Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTTRS Claimant, S. Wayne Tucker, hereinafter referred to as "Claimant", was represented by John F.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Kenneth and Shirley Gann Names of the Respondent Ronald J. Bateh Case Number: 04-02464 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES For Kenneth and Shirley Gann, hereinafter collectively referred to as "Claimants": Robert H. McKnight, Esq. and Andrea M. Muller, Esq.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants G.N. Tsandoulas and Marie K, Tsandoulas JTWROS G.N. Tsandoulas IRRA FBO G.N. Tsandoulas Marie K. Tsandoulas IRRA FBO Marie K. Tsandoulas Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Gerald Richard Browne Case Number: 04-02454 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Asso

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02450 Catherine L. Vaienti and Julia L. Ciano, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimants Catherine L. Vaienti and Julia L. Ciano (collectively "Claimants") appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, I

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-00006 Mark B. Sims and Donna T. Sims, claimants vs. Cambridge Capital, LLC and Wexford Clearing Services Corporation, respondents. ATTORNEYS: Claimants appeared Pro Se, through Mark B. Sims, Excelsior, MN. For Respondent, Wexford Clearing Services Corporation, appeared William H. Freilich, Esq., in-house counsel, New York, NY. DATE FILED: January 2, 2001. CASE SUMMARY: Claimant

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02447 Marie and David Shepard, Claimant v. William Edward Sears, Patricia Jean Sears-Million, Cantwell Paul Sandifur, Jr., and Kovack Securities, Inc., Respondents ATTORNEYS: For Claimants, Marie and David Shepard, ("Claimants"), appeared Robert S. Banks, Jr., Esq., of the Banks Law Office, P.C., Portland, OR. For Respondents, William Edward Sears and Patricia Jean Sears-Million, appeared Lo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02446 James Pusateri and Debbie L. Pusateri, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimants James Pusateri and Debbie L. Pusateri (collectively "Claimants") appeared Frederick J. Sudekum, III, Esq., of the firm Sudekum, Cassidy & Shulruff, CHTD., Chicago, IL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared J.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02444 James L. Frazier and Christine H. Frazier, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimants James L. Frazier and Christine H. Frazier (collectively "Claimants") appeared A. Renee Preston, Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, I

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02443 Deena Mae Leep and Kenneth H. Giove JTWROS, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: ~ " " For Claimants Deena Mae Leep and Kenneth H. Giove JTWROS (collectively "Claimants") appeared Adam M. Fetterman, Esq., of the firm Fetterman & Associates, P. A., North Palm Beach, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent