Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00637 Pan American Financial Services, Inc. d/b/a Pan-American Financial Advisers Name of the Respondent Hearing Site: Boca Raton, FL Keith Russell Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Pan American Financial Services, Inc. d/b/a Pan-American Financial Advisers ("PAF"), hereinafter referred t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-00635 Frank B. Wingate Debi S. Wingate Name of the Respondent Hearing Site: Atlanta, Georgia Goldman, Sachs & Co. Customer vs. Member. For Frank B. Wingate and Debi S. Wingate, hereinafter collectively referred to as "Claimants": J. Pat Sadler, Esq., Sadler & Hovdesven, P.C., Atlanta, Georgia. For Goldman, Sachs & Co., hereinafter r

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Matthew Jimenez and Simone Jimenez, individually and as Trustees of Jimenez Revocable Trust U/A/D 12/23/96 and M&S Revocable Trust, U/A/D 12/23/96, Claimants v. Jeffrey S. Hanson, Uwe M. Ruttke, and Merrill Lyrich, Pierce, Fenner & Smith Incorporated, Respondents Case Number: 04-00632 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Assoc

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerry Weber and Ann Weiner, Individually and Trustees for the benefit of the Weiner 1985 Family Trust, and Jerry Weiner, Individually and on behalf of the Jerry Weiner Ira Rollover Account, Claimants v. Wachovia Securities, LLC. as Successor to Everen Securities, Inc. arid First Union Securities, Inc., Elliott Tad Friedman, and Kevin Foster Friedman, Respondents Case Number

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Reuben Robert Beckmann, Claimant v. Morgan Stanley DW Inc., Kevin R. Montoya and John J. Jaber, Respondents Case Number: 04-00629 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Attorney At Law Novato, California For Respondents: Eric G. Wa

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Leon Smith and Names of Respondents Citigroup Global Markets, Inc. and Thomas Pickett Case Number: 04-00624 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Leon/Srnith ("Claimant") was represented by Dennis Taylor, Esq., Shepherd, Smith & EdWardsVLLP, Houston

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: j Marc F. Jones, Claimant v. Vanguard Capital, Gregory Serras and Carole it,! Serras, Respondents Case Number: 00-05597 Hearing Site: Los Angeles, California For Claimant: For Respondents: REPRESENTATION OF PARTIES J. Paul (jjignac, Esq. Arias, Qzzello & Gignac, LLP Santa Barbara, California Kennet^ ?• Me Arthur, Esq. Troy and Gould Los Angeles, Califor

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Pase Number 04-00622 Thomas B. Hanna Names nf the Respondents Wearing Site? Raleigh, NC Merrill Lynch, Pierce, Fenner & Smith, Inc. James Graham Paterson, Jr. Nature of the Dispute: Customer v. Member and Associated Person. KKPRFSFNT ATTON OF PARTTF.S Claimant, Thomas B. Hanna, hereinafter referred to as "Claimant", was represented by Carrie

r Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Pare Nnmter 04-00621 Xavier Jordan Nam** of the Respondent Hearing Site- Washington, D.C. Fidelity Brokerage Services, LLC Nature of the Dispute: Customer vs. Member. KFPRFSTHNTATTON OF PAKTTF.S Claimant, Xavier Jordan ("Claimant"), was represented by Janet K. DeCosta, Esq., Law Offices of Janet K. DeCosta,, Washington, D.C.. Respondent, Fideli

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number! 04-00619 i W. Wells Van Pelt, Jr. Name of the Respondents Hearing Site- Charlotte, North Carolina UBS Financial Services, Inc. Michael Richard Williams i Nature of the Dispute: Associated Person vs. Member and Associated Person. KF.PRF.SFNTATTON OF PARTTFS Claimant, W. Wells Van Pelt, Jr., hereinafter referred to as "Claimant", was r