Award NASD Dispute Resolution In the Matter of the Arbitration Between: West Caldwell Office Associates, LLC, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Christopher Killeen, (Respondents) Case Number: 00-05729 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, West Caldwell Office Associates, LLC, hereinafter referred to as "Claimant": James J. Higgins, Esq., Law Office of James J. Higgins, Florham Park, NJ. Res

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01767 Ralph S. Fox, Jr., and Mariangela G. Fox, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEY^ For Claimants, Ralph S. Fox, Jr., and Mariangela G. Fox, ("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, Inc., ("Respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Sydell Sandier Sherry Zimand Scott J.Coltune Stacey Coltune Quentin Sandier Gail Reiss Arthur Zimand Gary Sandier Rochelle Sandier Sherry Coltune Maternal Trust Sherry Coltune Paternal Trust Scott Coltune 86-1 Irrevocable Trust Stacey J. Coltune 1995-1 Irrevocable Trust Stacey J. Coltune 86-1 Irrevocable Trust Gail Sandi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01755 McDonald Investments, Inc. Name of the Respondent Hearing Site: Tampa, Florida Ross A. Bunson Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For McDonald Investments, Inc., hereinafter referred to as "Claimant": Robert N. Rapp, Esq., Sharon A. Luarde, Esq. and Alexander E. Gertsburg, Esq.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01751 McDonald Investments Inc. Name of the Respondent Hearing Site: Tampa, FL John C. Romanoff Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For McDonald Investments Inc., hereinafter referred to as "Claimant": Robert N. Rapp, Esq., Sharon A. Luarde, Esq. and Alexander E. Gertsburg, Esq., Calfe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sheryl L. Walker, IRA, Claimant v. Prudential Equity Group, LLC fk/a Prudential Securities, Inc., Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Presidential Brokerage, Inc., Jason A. Dominicak, Lee A. Tripodi, and Glenn P. Mazzone, Respondents Case Number: 04-01747 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Members and Associated Person

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Wanda B. Roper Name of the Respondent A.G. Edwards & Sons, Inc. Case Number: 04-01739 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Wanda B. Roper, hereinafter referred to as "Claimant": Raymond G. Prince, Esq., Prince & Bellinger, P.C., Nashville, Tennessee. For A.G. Edwards & Sons,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jennifer M. Hieber and William J. Holbrook (Claimants) v. Avalon Partners, Inc. and Vincent Au (Respondents) Case Number: 04-01731 Hearing Site: New York, New York Nature of the Dispute: Associated Persons vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Jennifer M. Hieber ("Hieber") and William J. Holbrook ("Holbrook") hereinafter collectively referred to a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nnmft< i nf the PlnimflntH , The Karl D'Amico Revocable Trust Karl D'Amico Mary D'Amico Joseph J. D'Amico Megan M. D'Amico indents Narnes_Qf theJR First Union Securities, Inc. Wachovia Securities, LLC Susan W. Johnson William D. Milcham First Union Investment Corporation f 04-01727 Hearing Sfrer Charlotte, North Carolina Nature of the Dispute

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Frank and Barbara Kellch, Kellch Family Trust, and Larae C. Kellch Trust and 04-01714 Phoenix, Arizona Name of Respondents Wells Fargo Investments, LLC Gregg Novotny Charles Elliott Gibbs, Jr. Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Frank and Barbara Kellch, Kellch Family Trust,