NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00208 Chester J. Derek and Helen D. Derek JTWROS, claimants vs. Sands Brothers & Co. Ltd., respondent. ATTORNEYS: Claimants, Chester J. Derek and Helen D. Derek JTWROS ("Claimants"), appeared Pro Se., Saginaw, MI. For Respondent, Sands Brothers & Co., Ltd. ("Respondent"), appeared Richard A. Roth, Esq. of Littman, Krooks, Roth & Ball, P.C., New York, NY DATE FILED: January 19,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robinson Family Trust Dated 12/21/98, Claimant v. Prudential Equity Group, LLC file/a Prudential Securities, Inc. and Michael Tantleff, Respondents Case Number: 03-09056 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Eric A. Woosley, Esq. Law Offices of Zilinskas & Woosley Santa Ba

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Investments, LLC, Claimant v. Gerald R. Maestu, Respondent Gerald R. Maestu, Counterclaimant v. Wells Fargo Investments, LLC, Counter-Respondent Case Number: 03-09055 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent Wells Fargo Investm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Investments, LLC, Claimant v. Melville Steuart Brown, Respondent Melville Steuart Brown, Counter-Claimant v. Wells Fargo Investments, LLC, Counter- Respondent Melville Steuart Brown, Third-Party Claimant v. Wells Fargo Securities, LLC, Third-Party Respondent Case Number: 03-09054 Hearing Site: San Diego, California Nature of the Dispute: Member v. Associated Person

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Investments, LLC, Claimant v. Paul Ometer, Respondent Case Number: 03-09053 Hearing Site: San Francisco, California Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For Claimant: Ronald S. Kravitz, Esq. Liner Yankelevitz Sunshine & Regenstreif LLP San Francisco, California For Respondent: Paul Ometer Sunnyvale, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Benton Express, Inc. (Claimant) v. Harrison Securities, Inc., James Pecoraro, and Ray Leventhal (Respondents) Case Number: 03-09050 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Benton Express, Inc. ("Benton") hereinafter referred to as "Claimant": David M. Kasell, Esq., previously Richard A

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-09048 Name of the Respondents Hearing Site: Philadelphia, PA H.D. Vest Investment Securities, Inc. Frarik H. Kelly d/b/a Kelly Financial Services Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Anna Mae Taylor ("Taylor"), hereinafter referred to as "Claimant", was represented

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Nikonas Maitoglou (Claimant) v. Anthony J. Calascione (Respondent) Case Number: 03-09042 SITUS: New York, New York. NATURE OF DISPUTE: Customer vs. Associated Person. REPRESENTATION OF PARTIES Nikonas Maitoglou ("Maitoglou") hereinafter referred to as "Claimant": Kevin J. Begley, Esq., Kevin J. Begley Attorney at Law, Parlin, NJ. Respondent Anthony J. Calascione ("Calascione

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: ) Lester and Carol Rodawald, ) Case Number - 03-09041 Claimants ) v. ) Hearing Site: St. Louis, Missouri ) Raymond James Financial Services, Inc., ) and Robert G. Langhorst, ) Respondents. ) NATURE OF THE DISPUTE Customers vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants, Lester and Carol Rodawald ("Rodawald"), hereinafter coll

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Ernest A. Farris Ingeborg U. Farris Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 03-09039 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member, REPRESENTATION OF PARTIES Ernest A. Farris and Ingeborg U. Farris, hereinafter collectively referred to as "Claimants", appeared pro se.