Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Dawn Bennett Case No. 99-02239 - Name of Respondents Wheat First Union, Inc. (n/k/a First Union Securities, Inc.) William R. Butler Jonathan M. Harris Carlton M. Collins Hearing Location: Washington, D.C. REPRESENTATION OF PARTIES Claimant, Dawn Bennett ("Bennett"): Woodley Osborne, Esq., Osborne & Deutsch, Washington, DC, and Eric L. Si

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Janice Lynn Griffin, Claimant, Case Number: 05-03270 Hearing Site: Milwaukee, Wisconsin v. Freedom Investors Corporation, James Fay and Hans Wegesser, Respondents. Nature of the Dispute: Customer vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES Janice Lynn Griffin, ("Griffin"), hereinafter referred to as "Claimant": Thomas F. Burke, Esq. of Th

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert H. Stackpole, MD (Claimant) vs. Merrill Lynch, Pierce, Fenner, & Smith, Inc., Marshall A. Leber, and Joseph Berkery (Respondents) Case Number: 05-03207 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Robert H. Stackpole, MD hereinafter referred to as "Claimant": Brian Guillorn,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard Perez and Case Number: 05-03113 Hearing Site: Houston, Texas Name of Respondent A.G. Edwards & Sons, Inc. NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Richard Perez ("Claimant") was represented by Samuel B. Edwards, Esq., Shepherd, Smith & Edwards, LLP, Houston, Texas. A.G. Edwards & Sons, Inc. ("Respondent") was

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Henry M. Korngut, Claimant v. Bear, Stearns & Co. Inc., Respondent Case Number: 05-03067 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES For Claimant: Frank F. Sommers, IV, Esq. Sommers & Schwartz LLP San Francisco, California For Respondent: Gilbert R. Serota, Esq. Howard Rice Nemerovski Canady Fa

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Robert M. and Joyce A. Vogel and 05-02986 Kansas City, Missouri Name of Respondents Merrill Lynch Pierce Fenner & Smith Incorporated David Eugene Black Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Robert M. and Joyce A. Vogel ("Claimant") was represented at the hearing by Sean Keane, Esq., SimmonsCoo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Carolyn Poinier Speakman v. 05-02896 Denver, Colorado Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Michael J. Hecht and Lary L. Speakman NATURE OF DISPUTE Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Carolyn Poinier Speakman. ("Claimant") was represented by C. Brad Peterson, Esq., of Hutchinson Black and Cook, LLC

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lewis E. Worms, individually and as trustee of the Lewis E. and Corrine I. Worms Trust, Claimants v. Salomon Grey Financial Corporation, Chazon Stein, and Christopher J. Borgo, Respondents Chazon Stein and Christopher J. Borgo, Counter-Claimants v. Lewis E. Worms and the the Lewis E. and Corrine I. Worms Trust, Counter-Respondents Case Number: 05-02677 Hearing Site: Los Angeles,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02642 Gail A. Andre, (Claimant) vs. Cristobal Guillen, (Respondent) A T T O R N E Y S : ~ Claimant appeared pro se, Vernon Hills, IL. Respondent appeared pro se, Seattle, WA. NATURE OF DISPUTE: Customer vs. Associated Person DATE FILED: May 16, 2005 CASE SUMMARY: Claimant alleged that Respondent breached his fiduciary duty, placed him in unsuit

Award NASD Dispute Resolution, inc. In the Matter of the Arbitration Between: Cannata Family Trust, Claimant vs. Bear Stearns & Company and Matthew J. Pickett, Respondents Case Number: 99-02234 JHearing Site: Houston, TX REPRESENTATION OF PARTIES Claimant, Cannata Family Trust, referred to as ("Claimant"): Sean Greenwood, Esq. and Don Fogel, Esq., Ware, Snow, Fogel, Jackson & Greene, P.C., Houston, TX. Respondents, Bear Stearns & Company and Mat