Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas A. Wolverton, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Timothy M. Sktftun, Respondents Case Number: 03-08277 Hearing Site: Salt Lake City/Utah Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Jeffrey B. Musslewhite, Esq. Woska and Hayes, LLP Kingwood, Texas For Respondents: Tara A. La

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01951 Stephen Chen, (Claimant) vs. CIBC World Markets, Corp., (Respondent) ATTORNEYS: For Claimant appeared Eldon L. Looby, Esq., of the firm Law Offices of Eldon L. Looby, Melville, NY. For Respondent appeared in-house counsel, Michelle Murphy, Esq., New York, NY. NATURE OF DISPUTE: Associated Person vs. Member " DATE FILED: April 12, 2005 CASE SUMMARY: Claimant requested expungement

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dina Boyd, Claimant v. Morgan Stanley DW Inc., Glenn S. Samson and Dennis W. Peterson, Respondents Case Number: 03-08275 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Richard Sacks Law Offices of Timothy A. Canning Novato, California For Respondents: John S. Worden Adr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-08271 Joan Passaretti Rodolfo Passaretti Name of the Respondent Hearing Site: Tampa, Florida Charles Thomas Heimbach Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES For Joan Passaretti and Rodolfo Passaretti, hereinafter collectively referred to as "Claimants": Nicholas J. Taldone, Esq., Clearwater,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Robert Larson and Respondents Morgan Stanley DW, Inc., and Max Pert Case Number: 03-08266 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Robert Larson ("Claimant") appeared in pro per. Morgan Stanley DW, Inc. ("MSDW") and Max Pett ("Pett"), hereinafter collectively referred

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Neal F. Zalenko and Esther Zalenko And Arbitration Number: 03-08265 Hearing Location: Detroit, Michigan Respondents Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Charles W. Dare, Sr. NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION QF PARTIES Neal F. Zalenko and Esther Zalenko ("Claimants") were rep

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Steven D. Crossgrove Case No. 00-01651 Names of Respondents David Demarest, IV Michelle Amy Cropper REPRESENTATION OF PARTIES Steven D. Crossgrove, hereinafter referred to as "Claimant" appeared pro se. David Demarest, IV ("Demarest") appeared pro se. For Michelle Amy Cropper ("Cropper"): Dianne L. Papierniak, Esq. of J.P. Turner & Company,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08260 Lynne Katherine Sperry, Claimant v. A.G. Edwards & Sons, Inc., James Earl Jacoby, and Steven Jay Hudgins, Respondents ATTORNEYS: Claimant Lynne Katherine Sperry ("Claimant") appeared pro se, Folsom, CA. For Respondents A.G. Edwards & Sons, Inc., James Earl Jacoby, and Steven Jay Hudgins collectively ("Respondents") appeared James C. Browning, Jr., Esq., in-house counsel, St. Louis,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Georgette Willis, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and John J. Clay, Respondents Case Number: 03-08258 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: A. Daniel Woska, Esq. Woska & Hayes, L.L.P. Oklahoma City, Oklahoma For Respondents: David E. Bamber

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the. Claimants John E. McDonald, Jr. Mary McDonald Names of the Morgan Keegan & Company, Inc. Randy G. Cost C.asfl Number 03-08256 Hearing Site: Richmond, Virginia Nature of the Dispute: Customers vs. Member and Associated Person. RFPRKSKMTATTON OF PAttTTRS Claimants, John E. McDonald, Jr. and Mary McDonald, hereinafter collectively referred to as "C