Award NASD Dispute Resolution In the Matter of the Arbitration Between: West Park Capital, Inc., Claimant v. Francis J. Coady, Respondent Case Number: 04-02296 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Anthony C. Pintsopoulos West Park Capital, Inc. Deerfield Beach, Florida For Respondent: Francis J. Coady In Propria Persona Malibu, California CASE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Leonard E. Bellinson, Individually and as Trustee of the Leonard E. Bellinson Trust Dated December 6,1982 and Eleanor Bellinson, Individually as a Trust Beneficiary, Claimants v. Wachovia Securities, LLC, Round Hill Securities, Inc., and Wachovia Securities Financial Network, LLC, Respondents Case Number: 04-02295 Hearing Site: San Diego, California Nature of the Dispute: Custom

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Merrill Lynch, Pierce, Fenner & Smith Incorporated, Robert Milligan and Gregory Pease, Claimants vs. Carl Weeder and Amelia Weeder, Respondents Case Number: 04-02294 REPRESENTATION OF PARTIES Claimants, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Robert Milligan and Gregory Pease, hereinafter collectively referred to as "Claimants" appeared through Erika Schneider

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith Incorporated and Joan Most, Claimants vs. Marilyn Pfeiffer, Respondent Case Number: 04-02293 REPRESENTATION OF PARTIES Claimants, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Joan Most, hereinafter collectively referred to as "Claimants" appeared through Thomas L. Weisenbeck, Esq., of the firm Dressier, Amery & Ross, P.C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Purshe Kaplan Sterling Investments (Claimant) v. Fred Alger & Company, Inc. (Respondent) Case Number: 04-02291 Hearing Site: Albany, New York Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES Claimant Purshe Kaplan Sterling Investments ("PKS") hereinafter referred to as "Claimant": David M. Purcell, Esq., Purshe Kaplan Sterling Investments, Albany, NY. Responde

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants John Joppich and Kathy Joppich and Respondents Wachovia Securities, LLC and Mark T. Gierl Case Number: 04-02277 Hearing Site: Milwaukee, Wisconsin NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES John Joppich and Kathy Joppich ("Claimants") were represented by James Bolt, Esq., located in New Berlin, Wisconsin.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Margo Wilkinson and Case Number: 04-02275 Hearing Site: Houston, Texas Respondents Merrill Lynch, Pierce, Fenner& Smith, Inc., and Raymond A. Deragon NATURE OF CASE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Margo Wilkinson ("Claimant") was represented by Brian E. Bro, Esq., Law Offices of Brian E. Bra, Hous

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Janet A. Pritchard, Individually and as Trustee of the Janet A. Pritchard Revocable Living Trust Name of the Respondents Morgan Stanley DW, Inc. and Richard Hogard Case Number 04-02272 Hearing Site: St. Louis, Missouri JATIIF O Customer vs. Member Firm and Associated Person OF Richard B. Fosher, Esq. of the law firm Oakes & Fosher, LL

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-02258 Donald and Barbara May Names of the Respondents Hearing Site- Raleigh, NC Merrill Lynch, Pierce, Fenner & Smith, Inc. Martin Capra Nature of the Dispute: Customers vs. Member and Associated Person. RFPRFSF.NTATTON OF PARTIES Claimants, Donald and Barbara May, hereinafter collectively referred to as "Claimants"., were

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:00-05775 Kermit and Margaret Schley, claimants vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimants appeared Pro Se, Sun City West, AZ. For Respondent appeared James J. Vihstadt, Esq., in-house counsel, Bellevue, NE. DATE FILED: December 18, 2000 CASE SUMMARY: Claimants alleged that respondent made unauthorized trades in their account thereby creating a loss. Claim Data Award Dat