Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary K. O'Leary, Claimant v. Morgan Stanley DW Inc. and Samuel S. Crawley, Respondents Case Number: 05-02473 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Calvin N. Souther, Jr., Esq. Attorney at Law Portland, Oregon For Respondents: Jonathan D. Robbins, Esq. Morgan Stanley S

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant The Linda M. Palmer Trust U/D/A 12/12/91 and Case Number: 05-02366 Hearing Site: Southfield, Michigan Respondents Fifth Third Securities, Inc., Oppenheimer& Co., Inc., and Charles Beer NATURE OF DISPUTE Customer v. Members and Associated Person REPRESENTATION OF PARTIES The Linda M. Palmer Trust U/D/A 12/12/91 ("Claimant") was represented by Michael P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant/Counter-Respondent Case Number: 05-02221 Wachovia Securities, LLC Name of the Respondent/Counter-Claimant Hearing Site: Dallas, Texas Daniel Edward Levin NATURE OF THE DISPUTE Member Firm vs. Associated Person REPRESENTATION OF PARTIES Claimant/Counter-Respondent Wachovia Securities, LLC, hereinafter referred to as "Wachovia": Ronald Kane, Esq., of t

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Robert Spooner and Marlene Spooner and Respondent H&R Block Financial Advisors, Inc. Case Number: 05-01920 Hearing Site: Detroit, Michigan Customers v. Member NATURE OF DISPUTE REPRESENTATION OF PARTIES Robert Spooner and Marlene Spooner ("Claimants") were represented by Richard I. Lippitt, Esq., Richard I. Lippitt, P.C., Milford, Michigan. H&R B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Larry Deutsch (Claimant) vs. Berry-Shino Securities, Inc. and Albert Brinmore Britton, Jr. (Respondents) Case Number: 05-01790 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Larry Deutsch hereinafter referred to as "Claimant": John G. Rich, Esq., Rich Intelisano, LLP, New York, NY. Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01789 Rebecca Diane Lancaster and Carol Denise (Lancaster) Lucky, Independent Co-Executrixes of the Estate of Marie Lancaster, Deceased Name of the Respondents Hearing Site: Dallas, Texas Bane of America Investment Services, Inc.; Michael Dennis Degolier; and, Terry Wayne Johnson NATURE OF THE DISPUTE Public Customer vs. Membe

NASD Arbitration No. 93-00829 """"" N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECTTOTTIES DEALERS . INC. In the matter of the Arbitration Between Name of Claimant is) Dale VanCleave Name of Responfjgnt: fpj PaineWebber Incorporated Edward Elliott REPRESENTATION For Claimant: Richard Sacks, Investors Recovery Services, Novato, California For Respondents : Scott M. Ratchick, Esq., PaineWebber Incorporated, Los Angeles, California

N.A.S.D. AWARD NATIONAL ASSnrT.VTTON OF ^FrT^RTTTFg nf AT FRS. INC. In the matter of the Arbitration Between Name of ("l^jmanrs Mikaii and Svetlana Mollazadeh Name of NASD Arbitration No.93-00792 American Eastern Securities, Inc., Lindsey Gintner and Norwin Wong RFPRTCTTNTATTON For Claimants? Robert j. Waechter, Esq., Los Angeles, California. For Respondents: Douglas J. Rovens, Esq., Los Angeles, California. CASg INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAT.ERS . INC. In the matter of the Arbitration Between Name of Claimant (s) Joy Kingston Name of Respondent (s) Michael Visbal NASD Arbitration No. 93-00622 For Claimant: Edward W. Russey, III, Investors Arbitration Services, Inc., Woodland Hills, California For Respondent: Mitchell J. Albert, Esq., Haight, Brown & Bonesteel, Santa Monica, California CASE INFORMATION Statement o

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: HughB. Burris, Jr.; Carol W. Burris; Hugh B. Burris, Jr. and Carol W. Burris, JTWROS; Hugh Benton Burris, Jr., IRA; Hugh Benton Burris, Jr., IRA; Carol W. Burris, IRA; Hugh B. Burris, Jr., M.D. PA Pension Plan Dr. Hugh Benton Burris, Jr., MD, TTEE; Benton Bland Interest, Inc. PSP; Eino Olivares; Linda Olivares; IRA FBO Eino Olivares DWSC as Custodian; IRA FBO L