Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-00413 Warren Hansen Names of the Respondents Electronic Access Direct, Inc. Richard Barrett Donald Edwards Wayne Sewall Names of the Third-Party Respondents Hearing Site: Boca Raton, Florida Erica B. Hansen Trader Support Services, Inc. Nature of the Dispute: Associated Person vs. Member and Associated Person And Member vs

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants The Estate of Jose A. Vargas Lydia R. Vazquez Names of the Respondents Santander Securities Corporation German Ramirez De Arellano John Watson Case Number: 05-00352 Hearing Site: San Juan, Puerto Rico Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For The Estate of Jose A. Vargas and Lydia R.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case No.: 05-04719 IMS Securities, Inc. (consolidated with 05-05808) Name of the Respondent Hearing Site: Boca Raton, Florida A. Martin Abern In the Matter of the Arbitration Between: Names of the Claimants Case No.: 05-05808 Abern Financial, Inc. (consolidated with 05-04719) Andrew Martin Abern Bradley J. Rosen Names of the Respondents Hearing S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-08534 James R. Kelly, individually and on behalf of Sunstate Equity Trading, Inc. Names of the Respondents Hearing Site: Tampa, Florida Warren Hansen Chad Robbins Ian El Stanko Name of the Third Party Respondent Penson Financial Services, Inc. Nature of the Dispute: Member and Associated Person vs. Associated Person vs. Member.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-04222 Mario Barrios Gladys Barrios Names of the Respondents Hearing Site: Boca Raton, Florida David Lerner Associates, Inc. Richard A. Burack Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mario Barrios and Gladys Barrios, hereinafter referred to as "Claimants": Mark F. Ray

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number. 05-01636 Harry Wood Bethany Wood Name of the Respondent Hearing Site: Tampa, Florida Merrill Lynch Pierce Fenner & Smith Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Harry Wood ("H. Wood") and Bethany Wood ("B. Wood"), hereinafter collectively referred to as "Claimants": Celeste M. Chiaramonte, Esq., Woska

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number. 05-02738 Tom Trevisani, individually and as Trustee of his IRA account Patman CLIM Manuela Trevisani, individually and as Trustee of her IRA account Names of the Respondents Hearing Site: Orlando, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Robert Harvie Kent Akins Nature of the Dispute: Customer vs. Member a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case No.: 05-03440 Money Concepts Capital Corp. (Consolidated with 05-03684) Names of the Respondents Hearing Site: Boca Raton, Florida Partner Connections, LLC William Little James Lee Kirby John Stevko In the Matter of the Arbitration Between: Name of the Claimant Case No.: 05-03684 Partner Connections, LLC (Consolidated with 05-03440) Name

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants John D. Topham and Ruth J. Topham vs. Names of Respondents TD Waterhouse Investor Services, Inc., and State Street Global Advisors Case Number: 04-07229 Hearing Site: Kansas City, Missouri NATURE OF THE DISPUTE Customers vs. Member and Non-Member REPRESENTATION OF PARTIES John D. Topham and Ruth J. Topham ("Claimants") were represented by Ga

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bear Stearns & Co., Inc. (Claimant) vs. Pietro Gattini (Respondent) Case Number: 99-03515 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Bear Stearns & Co., Inc., hereinafter referred to as "Claimant": David W. Grossman, Esq.,a sole practitioner, New York, NY. Respondent, Pietro Gattini, hereinafter referred to as "Respondent", did not make an appeara