Award NASD Dispute Resolution In the Matter of the Arbitration Between: National Planning Corporation (Claimant) v. Jorge Fernandez (Respondent) Case Number: 05-00952 Hearing Site: Cleveland, Ohio Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant National Planning Corporation hereinafter referred to as "Claimant": Kenneth A. Bravo, Esq., Ulmer & Berne, LLP, Cleveland, OH. Respondent Jorge Fernandez hereinafter r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Trikilis and Melissa Trikilis, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Financial Services Inc., Frank Page, and Page & M.A, Business Management, Inc., Respondents Frank Page, Counter-Claimant v. Michael Trikilis and Melissa Trikilis, Counter-Respondents Case Number: 05-00949 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v

Award . NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf thp Claimants C!ase NuTnbpE! 05-00944 William G..and Constance A. Karis .' , 11 ipg Sifft- Pittsburgh, Pennsylvania PNC Investments, Inc. David CDiCio . Nature of the Dispute: Customers vs. Member and Associated Person. , i RFPRFSFNTATTON OF PAPTTFS . f Claimants, William G. and Constance A. Karis , hereinafter collectively referred to as "Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Allen W. Love Life Insurance Trust, Claimant v. Mony Life Insurance Company, The Mony Group, and William G. Stafford, Respondents Case Number: 05-00936 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Non-Members and Associated Person REPRESENTATION OF PARTIES For Claimant: Michael E. Reznick, Esq. Hess-Verdon & Associates Newport Beach, Californi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-00932 Wachovia Securities, LLC Name of the Respondent Hearing Site: Atlanta, Georgia Mark Silva ; Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Renan I. Sugarman, Esq., Renan Sugarman, P.C., Chicago, Illinois. Mark Silva, hereinaf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Naima Mattar (Claimant) vs. Alliance Bernstein Investment Research and Management, Inc. (Respondent) Case Number: 05-00925 Hearing Site: New York City, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Naima Mattar hereinafter referred to as "Claimant": Louis Pechman, Esq., Berke- Weiss & Pechman LLP, New York, NY. Respondent All

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thft Plaimflnt , CM* Niimhftr- 05-00920 Mary S. Traylor NnmR nf the RpgpnnHftnt Hpan'ng Site* Nashville, TN Merrill Lynch, Pierce, Fermer & Smith, Inc. Nature of the Dispute: Customer v. Member. RFPRFSENTATION OF PARTTF.S Claimant, Mary S. Traylor, hereinafter referred to as "Claimant", was represented by Ronald C. Koksal, Esq., Butler, Vines & Babb, PLLC, Knoxville,

1 NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01792 Michael Widner, claimant vs. Charles Schwab & Co., Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Folsom, CA. For Respondents appeared Mauricio S. Beugelmans, Esq., in-house counsel, San Francisco, CA. DATE FILED: April 6, 2001 CASE SUMMARY: Claimant alleged that respondents misrepresented facts and gave conflicting advice regarding certain recommendations of sto

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between of Susan McMahon and Names of Respondents Prudential Equity Group, LLC, Alberto Santos and Phillip Roiand Valadez Case Number: 05-00911 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Susan McMahon ("Claimant") was represented by Alex Katzman, Esq., Katzman & Katzman, San Antonio,

DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00904 Dana Spencer, (Claimant) vs. ADP Clearing and Outsourcing Services, Inc., (Respondent) ATTORNEYS: For Claimant appeared Solomon E. Kuckelman, of the firm BLS Legal Services, Inc., Brooklyn, NY. For Respondent appeared in-house counsel Charles Siegel, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: February 17, 2005 CASE SUMMARY: Claimant alleged that Responden