Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas A. Kujawski (Claimant) vs. National Securities Corporation and Brian L. Crawley (Respondents) Case Number: 05-02390 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Thomas A. Kujawski hereinafter referred to as "Claimant": J. Anklowitz, Esq., Bohemia, NY. Respondent "National Securitie

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02383 Vincent A. Preziosi Name of the Respondent Hearing Site: Orlando, Florida Dreyfus Service Corporation Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Vincent A. Preziosi, hereinafter referred to as "Claimant": Jon Broder, Esq., Blum and Silver, LLP, Coral Springs, Florida. For Dreyfus Service Corporatio

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02380 Woodbury Financial Services, Inc., (Claimant) vs. W. Zane Jackson, (Respondent) ATTORNEYS: For Claimant appeared Douglas D. McGhee, Esq., of the firm Arthur Chapman Kettering Smetak & Pikala P.A., Minneapolis, MN. Respondent did not respond to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 2, 2005 CASE SUMMARY: Claimant alleged that Respo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00534 Daniel D. Randall, claimant vs. Seaboard Securities and Peter A. Roberto, respondents. ATTORNEYS: Claimant appeared Pro Se, Northbrook, IL. For Respondents appeared Jay Marc Israel, Esq., in-house counsel, Islandia, NY. DATE FILED: February 1, 2001 CASE SUMMARY: Claimant alleged that respondent recommended stocks that were not suitable to his investment objectives. Claimant fu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John S. Valeriano and Anita L. Valeriano, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Stephen W. Davis, Respondents Case Number: 05-02376 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Randy S. Cohn, Esq. SimmonsCooper LLC East Alton, Illinois For Resp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thp Plaimant Jerry Mason Drumm Names f>f the Raymond James Financial Services, Inc. David Watts McMahan Pass Number- 05-02363 Hearing Site- Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRFSFNTATTON OF PAKTTFS Claimant Jerry Mason Drumm, hereinafter referred to as "Claimant", was represented by Rosalind M.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scott Boyd, Claimant v. Wells Fargo Securities, LLC, Respondent Case Number: 05-02358 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Todd C. Atkins, Esq. Atkins & Davidson San Diego, California For Respondent: Thomas F. Kopshever, Esq. Wells Fargo Law Department San Francisco, Californi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Bamett (Claimant) v. Harborside Securities, LLC (Respondent) Case Number: 05-02343 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant David Barnett hereinafter referred to as "Claimant": Michael Kalmus, Esq., New York, NY. Respondent Harborside Securities, LLC hereinafter referred to as "Respond

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02314 Henri Fabry and Marisa Fabry-Vaira, (Claimants) vs. Brill Securities, Inc., (Respondent) ATTORNEYS: ~ " Claimants appeared pro se, Roma, Italy. For Respondent appeared Charles O'Rourke, Esq., of the firm O'Rourke and Lawlor Attorney- at-Law, Woodbury, NY. NATURE OF DISPUTE: Customers vs. Member DATE FILED: April 20, 2005 CASE SUMMARY: Claimants alleged that Respondent switched

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02306 Edwin G. Whinney, (Claimant) vs. TD Waterhouse Investor Services, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Warrington, PA. For Respondent appeared Janine M. Lucas, Esq., of the firm Hertz, Schram & Saretsky, P.C., Bloomfield Hills, ML NATURE OF DISPUTE: Customer vs. Member DATE FILED: April 18, 2005 CASE SUMMARY: Claimant alleged that Respondent negligently handl