Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01183 Wilbur P. Williams, Jr. Name of the Respondents Hearing Site: Charlotte, North Carolina Wachovia Securities, LLC Robert Suddreth Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Wilbur P. Williams, Jr., hereinafter referred to as "Claimant", was represented by Staten L. Wilcox,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Denise Radomski, Claimant v. Bane of America Investment Services, Inc., E*Trade Securities LLC, and Irene R. Sinow, Respondents E*Trade Securities LLC, Cross-Claimant v. Bane of America Investment Services, Inc. and Irene R. Sinow, Cross-Respondents Case Number: 04-08016 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Members and Associated Person Memb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: 1992 Samuel Harris Family Trust and The Charlotte Harris Trust (Claimants) vs. Merrill Lynch, Pierce, Fenner and Smith, Inc. and Morgan Stanley DW, Inc. (Respondents) Case Number: 05-04195 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customers vs. Members REPRESENTATION OF PARTIES Claimants 1992 Samuel Harris Family Trust ("Family Trust") and The Charlotte Harris Trust

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-02355 Robert M. Ashen, claimant vs. Morgan Stanley Dean Witter and Jac B. Stulberg, respondents. ATTORNEYS: Claimant appeared Pro Se, Beverly Hills, CA. For Respondents appeared Wendy R. Robinson, Esq., in-house counsel, San Francisco, CA. DATE FILED: May 7, 2001 CASE SUMMARY: Claimant alleged that without notice or disclosure, respondent changed his long-standing customer account t

STIPULATED AWARD NASD Dispute Resolution tn the Matter of the Arbitration Between Name of Claimant Howe Barnes Investments, Inc. and 05-02602 Chicago, Illinois Name of Respondent Barry M. Hanses Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Howe Barnes Investments, Inc. ("Claimant") was represented by David T.B. Audley, Esq. and James P. Sullivan, Esq., Chapman & Cutler, LLP, Chicago, Illinois. Barry

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth C. Stephan (Claimant) v. Morgan Stanley DW Inc., Thomas Biadas, and John Damiano (Respondents) Case Number: 05-03667 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Kenneth C. Stephan hereinafter referred to as "Claimant": Rebecca J. Castell, Esq. and Jack Landskroner, Esq., Lan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03249 Beverly A. Weigand Name of the Respondent Hearing Site: New Orleans, Louisiana Securities America, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Beverly A. Weigand, hereinafter referred to as "Claimant": L. Jerome Stanley, Esq., L. Jerome Stanley, P.C., Baton Rouge, Louisiana. For Securities Amer

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Chi Kwang Chiang and Julie T.S. Huang, Claimants v. Morgan Stanley DW Inc., Howard H. Ye, Lin Hsieh, and Lily Li, Respondents Case Number: 04-07414 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: James A. Shalvoy, Esq. Law Offices of James A. Shalvoy Manhattan Beach, C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alexander Filimonov and Laura Filimonov, individually and on behalf of the Business Exchange International, Inc., Claimants v. Bane of America Investment Services, Inc., Respondent Case Number: 05-06232 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: . Kirk George Smith, Esq. Shepherd, Smith & Edward

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Roger L Hall Name of the Respondent Prudential Securities, Inc. n/k/a Prudential Equity Group, LLC Case Number. 05-01632 Hearing Site: Charleston, West Virginia Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Roger L. Hall, hereinafter referred to as "Claimant", was represented by Christopher L. Messina, Esq., S