Award NASD Dispute Resolution In the Matter of the Arbitration Between: John R. Pavich and Nancy Pavich, Case Number: 05-05044 Claimants, Hearing Site: St. Louis, Missouri v. ING Financial Partners, Inc. Respondent. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES John R. Pavich and Nancy Pavich, (the "Pavichs"), hereinafter collectively referred to as "Claimants": Steven W. Koslovsky, Esq. of Maryland Heights, Missouri.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04904 Jay Engelman Names of the Respondents Hearing Site: Washington, DC Legg Mason Wood Walker, Inc. Western Asset/Claymore Nature of the Dispute: Customer vs. Member and Non-member. REPRESENTATION OF PARTIES Claimant, Jay Engelman, hereinafter referred to as "Claimant", appeared pro se. Respondent Legg Mason Wood Walker, Inc ("Legg

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Kathy L. Reibold and Mary T. Hodgdon v. 05-04845 Minneapolis, Minnesota Respondents Edward D. Jones & Company and Erik J. Hendricks NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Kathy L. Reibold and Mary T. Hodgdon ("Claimants") were represented by Terrance J. Fleming, Esq., and Nicole M. Siemens, Esq., of Lin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04839 Gunnallen Financial, Inc. Names of the Respondents Hearing Site: Tampa, Florida David A. Green Stephen Edwards Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES For Gunnallen Financial, Inc., hereinafter referred to as "Claimant": William J. Schifino, Jr., Esq. and Joseph T. King, Esq., Williams, Schi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eileen B. Lang vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., UBS Financial Services, Inc. and Joseph R. Chiarantona, Jr. Case Number: 05-04833 Hearing Site: Philadelphia, PA Nature of the Dispute: Customer v. Members and Associated Person. REPRESENTATION OF PARTIES Claimant, Eileen B. Lang, hereinafter referred to as "Claimant", was represented by Steven H. Berkowite. Esq. an

1 NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03425 Paul Martin, Claimant vs. E*Trade Securities, Inc., Respondent. ATTORNEYS: Claimant, Paul Martin, ("Claimant"), appeared Pro Se., Bonita Springs, FL. Respondent, E*Trade Securities, Inc. ("Respondent"), appeared through its Compliance Analyst, Bob Salvador, Menlo Park, CA. DATE FILED: July 27, 1999 CASE SUMMARY: Claimant alleged that Respondent erroneously double credit

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Walter H. Worra, Claimant v. Royal Alliance Associates, Inc. and Ronald A. Knight, Respondents Case Number: 05-04672 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Steve A. Buchwalter, Esq. Law Offices of Steve A. Buchwalter, P.C. Encino, California For Respondents: Gregory M.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc., Claimant v. Jeffrey S. Kuest, Respondent Jeffrey S. Kuest, Counter-Claimant v. Citigroup Global Markets Inc., Counter- Respondent Case Number. 05-04628 Hearing Site: Seattle, Washington Nature of the Dispute: Member v. Associated Person Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 05-04573 R. Harold White and Sue Ann White Name of the Respondent Hearing Site: Dallas, Texas Edward D. Jones & Co. NATURE OF THE DISPUTE Public Customers vs. Member Firm REPRESENTATION OF PARTIES Claimants R. Harold White and Sue Ann White, hereinafter collectively referred to as "Claimants": Richard A, Lewins, Esq. and Chris Claassen,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Stewart K. and Betty Jeanne Cayton and Case Number: 05-04500 Hearing Site: Houston, Texas Names of Respondents Edward D. Jones & Co. and Gary Bailey NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Stewart K. and Betty Jeanne Cayton ("Claimants") of Lake Charles, Louisiana appeared pro se. Edward