NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:00-04475 Global Resource Investments, Ltd., claimant vs. John P. Kafka and Janet M. Kafka, respondents. ATTORNEYS: For Claimant appeared Robert E. Werbicky, Esq. of the firm Jolley Urga Wirth & Woodbury, Las Vegas, NV. Respondent John P. Kafka appeared Pro Se, Las Vegas, NV. Respondent Janet M. Kafka did not appear. DATE FILED: October 9, 2000. CASE SUMMARY: Claimant alleged th

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of fhe. Claimant Hase Number: 03-01594 Cyclean, Inc. Name nf the Respnndp.nf Hearing Site: Baltimore, MD Commonwealth Equity Services, Inc. Nature of the Dispute: Customer vs. Member. RFPRF.SF.NTATTON OF PARTTF.S Claimant, Cyclean, Inc "was represented by Dana Whitehead McKee, Esq., Brown Goldstein Levy, LLP, Baltimore, Maryland. Respondent, Commonwealth Equity Serv

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Jack Langer and H. Earl Barber, as Co-Trustees under the Sidney W. Langer Living Trust Names of the Respondents Salomon Smith Barney and Hank Aronberg Case Number: 03-01589 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jack Langer and H. Earl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01588 Elsie L. Wren, as Trustee for the Elsie L. Wren Trust, U/A dated October 2,1995 Elsie L. Wren, individually and as owner of the Elsie L. Wren, IRA and Elsie L. Wren, SEP IRA Names of the Respondents Hearing Site: Tampa, Florida Raymond James & Associates, Inc. Ross Preville Nature of the Dispute: Customer v. Member

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01586 Wachovia Securities, Inc. Names of the Respondents Hearing Site: Boca Raton, Florida Ronald C. Ball and Janney Montgomery Scott, LLC Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES For Wachovia Securities, Inc., hereinafter referred to as "Claimant": Thomas B. Lewis, Esq., Stark & Stark,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant William L. Sutton, IRA Name nf the Respondents Merrill Lynch Pierce Fenner & Smith, Inc. John Joseph Brienza Case Number- 03-01583 Hearing Site- Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. KRPRFSFNTATTON OF PAKTTFS Claimant, William L. Sutton, IRA, hereinafter referred to as "Claimant", was represen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf flip riaimq^tg Pflgfi ^]rnhf>r- 03-01582 GaryR. Baily and Tricia R. Baily Hearing Site- Dallas, Texas The Advisors Group, Inc. and Mickey R. Cargile O F TUSPTTTF. Public Customers v. Member Firm and Associated Person O? PAHTIF.S Claimants Gary R. Baily and Tricia R. Baily, hereinafter collectively referred to as "Claimants": John E. Dees, Esq., located in Dall

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norma Irene Fuenzalida, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Respondent Case Number: 03-01580 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Keith D. Fraser, Esq. Law Offices of Aidikoff & Uhl Beverly Hills, California For Respondent: Peter B. Dolan., Esq. The Dolan L

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Patrick J. Moore, Claimant vs. McDonald Investments, Inc. and Randal J. Wilhelmsen., Respondents Case Number: 03-01572 Hearing Site: Portland, Oregon Nature of Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Roger Hennagin, Esq. Roger Hennagin, P.C. Lake Oswego, Oregon For Respondent McDonald Investments, Inc.: Thomas V.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fidelity Brokerage Services, LLC (Claimant) v. Ken Dennis Williams (Respondent) Case Number: 03-01570 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant Fidelity Brokerage Services, LLC ("Fidelity") hereinafter referred to as "Claimant": Laurence K. Richmond, Esq., Laurence K. Richmond & Associates, P.C., Quincy, MA.