Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Ivan Winograd Helene Winograd Name of the Respondent PMG Securities Corporation Names of Third-Party Respondents George Anthony Schmidt, Jr. Denise Marie Fleming 1717 Capital Management Company Case_Number: 04-01658 Hearing Site: Boca Raton, Florida. Nature of the Dispute: Customer vs. Member vs. Member and Associated Person.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Don Zabawa Names of Respondents FAS Wealth Management Services, Inc. Randy James Derouin Lee A. Siler Georgeanne Detweiler Gaeton "Guy" Dellapenna Case No. 00-05723 Hearine Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Don Zabawa ("Zabawa") hereinafter referred to as "Claimant": Richard Stephens, Esq., Boca Raton, Florida.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Abilio Rodrigues and Cecilia B. Oliveira Rodrigues Name of the Respondent Bane of America Investment Services, Inc. Case Number: 04-01656 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Abilio Rodrigues and Cecilia B. Oliveira Rodrigues, hereinafter collectively referred to as "Cla

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-01654 Cathy J. Huffman Jerry Lee Huffman, Sr. Names of the Respondents Hearing Site: Atlanta, Georgia Merrill Lynch, Pierce, Fenner & Smith, Inc. Randall Joe Snipes Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Cathy J. Huffman and Jerry Lee Huffman, Sr., hereinafter colle

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Raymond H. Maxwell and Barbara S. Maxwell, Claimants, v. Merrill Lynch, Pierce, Fenner & Smith Inc., Robert Scott Como and Joseph Sotelo, Jr., Respondents. Case Number: 04-01653 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES For Claimants: Raymond H. Maxwell Scottsdale, Arizona (pro se

Award NASD Dispute Resolution In the Matter of the Arbitration Between: C. Starr Limited Partnership; Starr Family Trust FBO Ross Starr UAD 3/22/99; Starr Donor Trusts 1 through 5, inclusive; and Starr Living Trust UAD 3/30/80, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case Number: 04-01648 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Edward S. Ge

Award NASD Dispute Resolution In the Matter of the Arbitration Between: flflimantg CflSfl NMUlbfT' 04-01640 Gary and Bonnie Guin Hf firing Sitf Dallas, Texas InterSecurities, Inc. and Gregory James Hildebrand NATTTPF OFTTTF mSPTTTF. Public Customer v. Member Firm and Associated Person PF.PPF.SinVTATTmV OF Claimants Gary and Bonnie Gum, hereinafter collectively referred to as "Claimants": Richard H. Elliott, Esq. of the Law Offices of Ric

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Ronald Topolewski and Cecile Topolewski and Respondents , Morgan Stanley Dean Witter & Co. Cain Benjamin Kobert, and Mary Colleen Wright . . Case Number: 04-01639 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Ronald Topolewski ahc- .Ce.c'ile Topolewski. ("Clairnan

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Susan Whicheloe Keitges and 04-01638 Phoenix, Arizona Name of Respondents D.A. Davidson & Co. Ron A. Lusk Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Susan Whicheloe Keitges ("Claimant") appeared pro se. D.A. Davidson & Co. ("Respondent D.A. Davidson") and Ron A. Lusk ("Respondent Lusk") (collect

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William Hutchins and 04-01637 Nashville, Tennessee Name of Respondent Merrill Lynch Pierce Fenner & Smith, Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES William Hutchins ("Claimant") was represented by Jeffrey Musslewhite, Esq., Woska & Hayes, L.L.P., Kingwood, Texas. Merrill Lynch Pierce Fenner & Smith, Incorp