Award NASD Dispute Resolution In the Matter of the Arbitration Between: John D. Wade, Sr. IRA vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., John M. Jones and Virgil L. Underwood. Case Number: 05-01369 Hearing Location: Charleston, W V Nature of the Dispute: Customer vs. Member and Associated Persons. REPRFSFMTATIOM OF PARTIFS Claimant, John D. Wade, Sr. IRA, hereinafter referred to as "Claimant", was represented by Shawn P. George, Esq., George &

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul R. Yamshon, Paul R. Yamshon, IRA, Patricia L. Yamshon, Patricia L. Yamshon, IRA, Paul R. Yamshon TTEE and Patricia L. Yamshon TTEE of the Yamshon Family Trust U/A dtd 11/20/96, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Uwe M. Ruttke, Respondents Case Number: 03-07273 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph I. Bubonic and Versailles LLC, Claimants v. Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. and Robert J. Klein, Respondents Case Number: 05-06676 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants Joseph T. Bubonic and Versailles LLC: Jeff Dennis Ferentz, Esq. Na

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Khen Yu Ly and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and lain A. Sharpe Case Number: 05-03072 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES -Khen^u-Ly4"CJaimant'^_vvasLrep_i:esented by Jeffrey J. Tompkins, Esq.. Houston. Texas. Merrill Lynch P

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01608 Michael C. Leath, David E. Leath, Janine Glassman, and Betty E. Sauber, (Claimants) vs. Edward D. Jones & Co. and Ron Launder, (Respondents) ATTORNEYS; ~ ~ ~~ Claimants appeared pro se through Michael C. Leath, Longview, TX. For Respondents in-house counsel Trae D, Meyr, Esq., St. Louis, MO. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: March 27, 2006

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thfi Claimant Walter O. Race nf the Respondent Edward D. Jones & Co. Case Number: 05-03910 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Walter O. Race, hereinafter referred to as "Claimant", was represented by Christopher B. Jones, Esq., Law Offices of Christopher B. Jones, Scranton,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph L. Aversano, Michael Bassett, Johanna E. Caleca, Robert D. Caruso, Harold and Lillian Elsis, Joseph Fennelly, Trustee, Joseph Fennelly, Trustee, Joseph Fennelly, IRA, Vincent Horcasitis, Nancy Keane, Brian Lester, Jacqueline Minetree, Lee Minetree, Lee Minetree, SEP IRA, Maryiynn Novak, Marylynn Novak, Trustee, Marylynn Novak, Special Account, Marylynn Novak Money Purc

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00969 Douglas Fleming, (Claimant) vs. Pointe Capital, LLC, (Respondent) ATTORNEYS: Claimant appeared pro se, Lenoir City, TN. For Respondent appeared in-house counsel, Daniel R. Levene, Boca Raton, FL. NATURE OF DISPUTE: Customer vs. Member DATE FILED: February 24, 2006 CASE SUMMARY: Claimant alleged that Respondent failed to supervise and misrepresented material facts regarding inve

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 05-06544 Inversiones Interven, Ltd. Name of Respondent Hearing Site: Boca Raton, Florida National Financial Services, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Inversiones Interven, Ltd., hereinafter referred to as "Claimant": Howard R. Behar, Esq., Howard R. Behar, P.A., Aventura, Florida. For National Fi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants David E. and Billie Thomasson and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and John Schubert Kloss, Jr. Case Number: 05-02524 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES David E. and Billie Thomasson ("Claimants") were represented by Hector G. L