NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00890 Harriet Hanson, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. , Respondent. ATTORNEYS: For Claimant, Harriet Hanson, ("Claimant"), appeared Jeffrey B. Kaplan, Esq., of the firm Dimond, Kaplan & Rothstein, P. A., Miami, FL., and Charles W. Austin, Jr., Esq., of the firm C.W. Austin, Jr. PC, Richmond, VA. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Respondent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00889 Claire Barrett Young, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent ATTORNEYS: For Claimant, Claire Barret Young, ("Claimant") appeared Jeffrey B. Kaplan, Esq., of the firm Dimond, Kaplan & Rothstein, P.A., Miami, FL. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Bradley B. Rounsaville, Esq., of the firm Maynard, Cooper & Gale,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00888 Arlene Schiavo IRA, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Arlene Schiavo IRA, ("Claimant"), appeared Jeffrey B. Kaplan, Esq., of the firm Dimond Kaplan & Rothstein, P.A., Miami, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared A. Inge Selden, Esq., Ill, of the firm Maynard Cooper & Gale, P.C.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ft nf the Hai'mant Page Number: 00-05636 The Wooten Trust and John W. Wooten, Name nf the RespnnHents Hearing Site: Houston, Texas Edward Jones, Inc. and Allen J. Istre, Claimant The Wooten Trust and John W. Wooten, hereinafter referred to as "Claimant," was represented by Nan Roberets Eitel of Jones Walker located in New Orleans, Louisiana. Respondents Edward Jones, Inc

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00880 Gregory Hause, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant Gregory Hause ("Claimant") appeared Wm. Jemison Minis, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Kathryn R. Eldridge, Esq., of the firm Mayn

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the. Claimant Susan M. Giffm s nf the Respondents RBC Dain Rauscher Inc. Henry R. Miller, IV Case Number- 04-00873 Site- Richmond, Virginia Nature of the Dispute: Customer vs. Member and Associated Person. RFPRFSKNTATTON OF PAETIBS Claimant, Susan M. Giffin, hereinafter referred to as "Claimant", was represented by Joseph W. Kaestner, Esq., Kaestner

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00869 Robert A. Buchanan Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley Dean Witter Gary Christensen Teri Salach Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert A. Buchanan, ("Buchanan") hereinafter referred to as "Claimant": Jason R. Doss, Esq

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Derrick Clint Vamey and Regina Gayle Varney and Names of Respondents Prudential Equity Group, LLC, Jeffrey Daniel Holthouse and Donald R. Dentinger 04-00865 Louisville, Kentucky NATURE OF THE DISPUTE Customers vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES Derrick Clint Vamey and Regina Gayle Varney ("Varneys"), hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number- 04-00860 Wachovia Securities, LLC Name of the Respondent Hearing Site- Philadelphia, PA Robert P. Schulte, Jr. Nature of the Dispute: Member vs. Associated Person RF.PKFSFNTATTON OF PARTTFS Claimant, Wachovia Securities, LLC, hereinafter referred to as "Claimant", was represented by Jonathan E. Levine, Esq., Law Offices of Daniel S. Fiore, A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant. Malik Medical Associates Case Number 04-00842 Name of the Respondent Wachovia Securities, LLC Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Malik Medical Associates, hereinafter referred to as "Claimant", was represented by Michael J. Berts, Esq., Betts Law Office, Pittsbur