Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Evelyn Caputo (Claimant) vs. Merrill Lynch, Pierce, Fenner and Smith Incorporated and Anthony Todd Watts (Respondents) Case Number: 04-01733 Hearing Site: Columbus, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Evelyn Caputo hereinafter referred to as "Claimant": Stephen P. Meyer, Esq., Meyer & Ford, Charlesto

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01414 Tyler F. Hunter and Laura S. Hunter, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimants Tyler F. Hunter and Laura S. Hunter (collectively "Claimants") appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Shinkle, Claimant v. Oak Tree Securities, Inc., Mark Walsvick, Gary Hooker, Daniel Quesada, Legacy Financial Services, Inc., Respondents Case Number: 04-00730 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Members and Associated Persons REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Attorney at Law Novato, California

Award NASD Dispute Resolution In the Matter of the Consolidated Cases: Consolidated Case Number: 04-00615 Case Number: 04-00615 BPM Insurance Services, LLC and BPM Wealth Management, LLC, Claimants v. Vladimir Belinsky and Hermitage Advisors, LTD., Respondents Vladimir Belinsky, Counter-Claimant and Third-Party Claimant v. BPM Wealth Management, LLC (previously known as BPM Goldman Financial Design, LLC) and Henry B. Pilger, Counter-Respondent and T

Award NASD Dispute Resolution In the Matter of the Consolidated Cases: Consolidated Case Number: 04-00615 Case Number: 04-00615 BPM Insurance Services, LLC and BPM Wealth Management, LLC, Claimants v. Vladimir Belinsky and Hermitage Advisors, LTD., Respondents Vladimir Belinsky, Counter-Claimant and Third-Party Claimant v. BPM Wealth Management, LLC (previously known as BPM Goldman Financial Design, LLC) and Henry B. Pilger, Counter-Respondent and Third

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the CJaifnant Kenneth C. Hunt Names nf the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Christopher Kroberger Number 04-00400 Hearin£ Site- Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Kenneth C. Hunt, hereinafter referred to as "Claimant", was represented by Jeffre

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Donna J. Kalisz and Case Number: 03-08967 Hearing Site: Chicago, Illinois Respondent Merrill, Lynch, Pierce, Fenner & Smith, Incorporated NATURE OF DISPUTE Customer v. Member • REPRESENTATION OF PARTIES Donna J. Kalisz ("Claimant") was represented by Jo Ann Gryder, Esq., The Law Office of Jo Ann Gryder, Esq., Yorkville, Illinois. Merrill, Lynch, P

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Preferred Securities Group, Inc. Case No. 01-03105 Name of Respondent Paul Brian Kopman Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Preferred Securities Group, Inc. ("Preferred"), hereinafter referred to as "Claimant": Victor Lessinger, President, Preferred Securities Group, Inc. Paul Brian Kopman ("Kopman"), hereinafter refe

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-08453 Louisiana Sheriffs' Association Names of the Respondents Hearing Site: New Orleans, Louisiana Vanguard Capital, Inc. Feltus Barrow McKowen Brian Zaid Jeffrey L. Richardson Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Louisiana Sheriffs' Association, hereinafter re

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Robert D. Williams v. Respondents RBC Dain Rauscher, Inc., James Chapman and Mary Jane Delaney and Counter-Claimant RBC Dain Rauscher, Inc. v. Counter-Respondent Robert D. Williams Case Number: 03-08428 Hearing Site: Kansas City, Missouri NATURE OF DISPUTE Associated Person v. Member and Associated Persons REPRESENTATION OF PARTIES