Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-04437 Steven and Janet Goldstein Names of the Respondents Hearing Site: Boca Raton, Florida Pacvest Associates, Inc. Barry Michael Kornfeld Robert K. Mann Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Steven and Janet Goldstein, hereinafter collectively referred to as "Claimants":

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW Inc., Claimant v. Bradley J. Kroneberger, Respondent Bradley J. Kroneberger, Counter-Claimant v. Morgan Stanley DW Inc., Counter- Respondent Case Number: 05-04206 Hearing Site: Denver, Colorado Nature of the Dispute: Member v. Associated Person Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent Morga

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-04170 High Mark Securities, Inc. High Mark Associates, Inc. High Mark Insurance & Financial Services, Inc. John J. Pennachio Mark R. Wells Names of the Respondents Hearing Site: Atlanta, Georgia Royal Alliance Associates, Inc. AIG Equity Sales Corp. SunAmerica Securities, Inc. AIG SunAmerica Capital Services, Inc. AIG Fi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Lund (Claimant) vs. Edward Jones (Respondent) Case Number: 05-04166 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Richard Lund hereinafter referred to as "Claimant": Howard M. Rosenfield, Esq., Howard M. Rosenfield, Attorney at Law, Farmington, CT. Respondent Edward Jones hereinafter referred to as "Resp

Award COPY NASD Dispute Resolution In the Matter of the Arbitration Between: Howard W. Marcus & Lottie R. Marcus, TTEES FBO Howard & Lottie Marcus Trust HSP and TTEES FBO Howard & Lottie R. Marcus Trust WSP, Claimants v. Bane of America Investment Services, Inc. and Robin L. Chaffey, Respondents Case Number: 05-04082 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Darlene Darata, Claimant v. McClurg Capital Corporation, David G. McClurg, Raymond L. Lent and Joseph S. Niederkorn, Respondents Case Number: 05-03783 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: John W. Barnes Attorney at Law San Rafael, California For Respondents McClur

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Darrell Lake, Executor for the Estate of Walter J. Suckiel and Trustee of Walter J. Suckiel Community Property Trust 10/1/99, Claimants v. WM Financial Services, Inc. and Roy M. Leonard, Respondents Case Number: 05-03705 Hearing Site: Los Angeles, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Steven B. Lehat

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Subhas C. Mullick (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Edmund F. DiLeone (Respondents) Case Number: 05-03557 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member and Associated person REPRESENTATION OF PARTIES Claimant Dr. Subhas C. Mullick ("Mullick"), hereinafter referred to as "Claimant": Nicholas P. lavarone,

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Renee Braff v. Salomon Smith Barney, Inc., Paul J. Abrams and Arlette Cataldo Case Number: 01-02396 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Claimant: For Respondent Salomon Smith Barney, Inc. ("SSB"): For Respondent Paul J. Abrams ("Abrams"): For Respondent Arlette G. Cataldo ("CataJdo"): Darren C. Blum, Esq. Law Offices of Da

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants John Sinacola, Jackie Revoldt Sinacola, and Mary Sinacola vs. Case Number: 05-03517 Hearing Site: Troy, Michigan Names of Respondents Prudential Securities, Inc., n/k/a Prudential Equity Group LLC, Kenneth Bolda, and Wachovia Securities, LLC NATURE OF THE DISPUTE Customers v. Members and Associated Person REPRESENTATION OF PARTIES J