Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lynn E. Welch (Claimant) vs. Wachovia Securities, Inc. f/k/a First Union Securities, Robert Suchocki, and John Pascarella (Respondents) Case Number: 04-01116 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Lynn E. Welch hereinafter referred to as "Claimant": Ambrose>M. Richardson, Esq

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anthony S. Porco (Claimant) vs. Taylor Stuart Financial, Inc. and Irving Minnaker (Respondents) Case Number: 02-01893 Hearing Site: New York. New York Nature of the Dispute: Customer v. Member and Assocaited Person. REPRESENTATION OF PARTIES Claimant Anthony S. Porco hereinafter referred to as "Claimant": Michele A. Pincus, Esq., Lazer, Aptheker, Rosella & Yedid, P.C.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Conti (Claimant) v. Lehman Brothers, Inc. (Respondent) Case Number: 01-03630 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Michael Conti, hereinafter referred to as "Claimant" appeared pro se. Previously represented by Heather V. Baer, Esq., Sally & Fitch, Boston, MA. Respondent Lehman Brothers

NASD DISPUTE RESOLUTION STIPULATED AWARD NASD DISPUTE RESOLUTION CASE: 054)5821 Bane of America Investment Services, Inc., Alan R. Rosenberg, Patrick M. Dowden and Frederick R. Warren, (Claimants) vs. Martin and Stephanie Reingold, (Respondents) ATTORNEYS: For Claimants appeared William E. Goydan, Esq., of the firm Wolff & Samson PC, West Orange, NJ. Respondents appeared pro se, Oceanside, NY, NATURE OF DISPUTE: Member and Associated Persons v. Cust

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas W. Widmer, Indvidually, Thomas W. Widmer as Executor of the Estate of Ann R. Widmer, as Successor Trustee of the J. Wesley Widmer Trust U/A/D 5/21/98, as Successor Trustee of the Ann R. Widmer Trust U/A/D 3/30/99, and as Successor Trustee of the J. Wesley Widmer Family Trust U/A/D 5/21/98, and Betty Widmer (Claimants) vs. Edward D. Jones & Co., L.P. d/b/a Edward Jones and Syrrel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05155 Wachovia Securities, LLC Name of the Respondent Hearing Site: Nashville, Tennessee Billy Ray Caldwell, Jr. Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant, Wachovia Securities, LLC, hereinafter referred to as "Claimant", was represented by David L. Ward, Esq., Michaels & Ward, LLP, Boston, Mas

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Bane One Securities Corporation and JP Morgan Chase Bank, N.A. vs. Case Number: 05-04992 Hearing Site: Chicago, Illinois Names of Respondents Justin P. Fredian, Timothy N. Sjostrom, and Tyrone L. Coates NATURE OF THE DISPUTE Member and Non-Member vs. Associated Persons REPRESENTATION OF PARTIES Bane One Securities Corporation and JP Mor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Johanna Wilson, (Claimant) vs. Tucker Anthony Incorporated, Thomas James Nash, and James M. Hazelton, (Respondents) Case Number: 01-02376 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Johanna Wilson ("Wilson"), hereinafter referred to as "Claimant", appeared pro se. Previously represented by: Susan F. Drogin, Esq., a sole practitioner, Boston, MA. Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Finnegan Family Trust dated November 15, 1990 (Claimant) vs. Scott Seidman and UBS PaineWebber, Inc., n/k/a UBS Financial Services, Inc. (Respondents) Case Number: 05-04770 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant Finnegan Family Trust dated November 15, 1990 hereinafter referred to as

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant James H. Lee vs. Case Number: 05-04695 Hearing Site: Houston, Texas Name of Respondent Andrew Koval NATURE OF THE DISPUTE Associated Person vs. Customer REPRESENTATION OF PARTIES James H. Lee ("Claimant") was represented by Mitchell D. Savrick, Esq., Savrick, Schumann, Johnson, McGarr & Kaminski, Austin, Texas. Andrew Koval ("Respondent") was