Avtrard NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Wayne P^untsch (Claimant) vs. Intervest Intemational Equities Corporation (Respondent) Case Number: 05-2098 Hearina Site: New Yori< , New Yori< Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Richard Wayne Pfauntsch hereinafter refen-ed to as "Claimanf appeared pro se. Respondent Intervest Intemational Equities Corporation her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith Incorporated, Claimant v. William A. Anderson and Kathryn D. Anderson. Respondents Case Number: 06-01627 Hearina Site: Seattle, Washington Nature of the Dispute: Member v. Customers REPRESENTATION OF PARTIES For Claimant: Brian C. Free, Esq. Hillis Clart< Martin & Peterson Seattle. Washington ForRespondentWilliam A. Anderson: Willi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-06374 Kenneth H. Boyd, claimant vs. Merrill Lynch Pierce Fenner & Smith, Inc., Richard Emerson and Dan A. Waller II, respondents. ATTORNEYS: For Claimant appeared Harry G. McConnell, Esq., of the firm Smith, Hood, Perkins, Loucks, Stout & Orfmger, P.A., Daytona Beach, FL. For Respondents appeared in-house counsel, Yosef Sinensky, Esq., New York, NY. DATE FILED: November 26, 2001

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Diana Cooke (Claimant) vs. Wachovia Securities, Inc., as successor to First Union Securities, Inc. (Respondent) Case Numben 05-06351 Hearina Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Diana Cooke hereinafter refen'ed to as "Claimant" appeared pro-se. Respondent Wachovia Securities, Inc., as successor to First Unio

Award NASD Dispute Resolution In the Matter of the Arijitration Between: Teny Beri^ley and Allyson Beri< ley (Claimants) vs. Menill Lynch, Pierce, Fenner and Smith, Inc., and Morgan Stanley DW, Inc. (Respondents) Case Number: 05-04196 Hearino Site: Cincinnati. Ohio Nature of the Dispute: Customers vs. Members REPRESENTATION OF PARTIES Claimants Terry Beri^ley ("T. Beri< ley") and Allyson Beritley ("A. Beri< ley") hereinafter collectively referred to a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Consulate General of the Republic of Poland as Representative of Ryszard Zak (Claimant) vs. Morgan Stanley Dean Witter and Scott J. Kaminsky (Respondents) Case Number: 05-02480 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Consulate General of the Republic of Poland as Representative of Ryszard

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Numben g4-03894 William R. and Valerie L. Becker Name of the Respondents Hearing Site: St. Louis, Missouri Hibbard Brown & Co., Inc.; Michael K. Hart; Richard P. Brown; Beny D. Stroud; Steven B. Camso; Robert C. McAlexander; Kevin Girard Upton; and, Westfield Financial Corporation NATURE OF THE DISPUTE Customer vs. Member Finn, As

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margaret A. Cochran (Claimant) vs. Francis X. Keohane and A.G. Edwards & Sons. Inc. (Respondents) Case Number. 05-01368 Hearing Site: Boston. Massachusetts Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Margaret A. Cochran hereinafter referred to as "Claimanf: Richard S. Ravosa, Esq., Boston, MA. Respondents, Francis X. Keo

Award NASD Dispute Resolution In tlie Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01789 Rebecca Diane Lancaster and Carol Denise (Lancaster) Lucky, Independent Co-Executrixes of the Estate of Marie Lancaster, Deceased Name of the Respondents Hearing Site: Dallas, Texas Banc of America Investment Services, Inc.; Michael Dennis Degolier; and, Teny Wayne Johnson NATURE OF THE DISPUTE Public Customer vs. Member

stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Niunber: 03-05253 Mildred Werner Names of tiie Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith Inc. Jon K. Finsti:om Nature of the Dispute: Customer vs. Membw and Associated Person. REPRESENTATION OF PARTIES For Mildred Wemer, hereinafter referred to as "Claimant": Wm. Jemison Mims, Jr., Esq., Levin, Papantoni