Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Butts and Janice Butts, Claimants v. Piper Jaffray & Co. and Patrick G. Howell, Respondents Case Number: 05-01814 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: In Propria Persona Fresno, California For Respondents: Benjamin W. White, Esq. Keesal, Young & Logan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Natalka Lazirko Farrell (Claimant) vs. Summit Equities, Inc. (Respondent) Case Number: 05-01811 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Natalka Lazirko Farrell hereinafter referred to as "Claimant": Mitchell H. Cobert, Esq., Mitchell H. Cobert, Attorney at Law, Morristown, NJ. Respondent Summit Equities, Inc

i Award NASD Dispute Resolution In the Matter of the Arbitration Between: f"1fliinants Cape Ni 1Tn frffl" 01-00525 KimberlyA, Riddlesperger and Clay L. Riddlesperger Schneider Securities, Inc.; and Bradford D. Lingle Hearing Sitf St. Louis, Missouri BFPPF.SF.TVT ATTON OF PAPTTF.S Claimants Kimberly A. Riddlesperger and Clay L. Riddlesperger ("Claimants") were represented by Charles A. Seigel, HI, Esq., of Siegel & Wolff, P.C. wit

AWARD NASD Dispute Resolution in the Matter of the Arbitration Between Name of Claimant Ameritrade, Inc. and Name of Respondent SPFivehundred, Inc. Case Number: 05-01807 Hearing Site: Omaha, Nebraska NATURE OF DISPUTE Member vs. Customer REPRESENTATION OF PARTIES Ameritrade, Inc. ("Claimant") was represented by Patrick B. Griffin, Esq., Kutak Rock LLP, Omaha, Nebraska. SPFivehundred, Inc. ("Respondent") did not make an appear

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Henry Carter v. Respondents Primevest Financial Services, Inc., and First National Bank of Bryan and Counter-Claimant Primevest Financial Services, Inc. V. . _• • •   ' • , _ V Counter-Respondent . ': Henry Carter • , , • > • '"' j and Third-Party Claimant Primevest Financial Services

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant ' ' Case Number 05-01784 Elsie S. Golob Name nf the Respondent Hearing Site? Columbia, South Carolina Citigroup Global Markets, hie. file/a Salomon Smith Barney, Inc. Nature of the Dispute: Customer vs. Member. RF.PRF.SF.NTATTON OF PARTTFS Claimant Elsie S. Golob, hereinafter referred to as "Claimant", was represented by Mitchell Willoughby, Esq., an

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Linda Louise Stanley The Catherine L. Stanley Living Trust, Linda Louise Stanley, Trustee CLS Asset Management, LLP Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith Case Number: 05-01781 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member, REPRESENTATION OF PARTIES For Linda Louise Stanley, The Catherin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-01780 Stephen Mechanic, individually and as Trustee of the Stephen Mechanic Children's Educational Trust Elizabeth Mechanic Stephen Mechanic as joint tenant with Jordan Mechanic Stephen Mechanic as joint tenant with Jonah Mechanic Stephen Mechanic as joint tenant with Joshua Mechanic Names of the Respondents Hearing Site: Boca Raton, Fl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ugo Bruni (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Caroline Nyklewicz Gundeck (Respondents) Case Number: 05-01765 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Ugo Bruni hereinafter referred to as "Claimant": Marc F. Desiderio, Esq., Englewood Cliffs, NJ. Respondents

Award NASD Dispute Resolution In the Matter of the Arbitration Between: i Name of the Claimant Marianne Chopp I Names_of the Respondents Merrill Lynch Harry Lewkowitz Case Number: 05-01756 Hearing Site: Boca Raton, Florida Nature 1 of the Dispute: Customer vs. Member and Associated Person, REPRESENTATION OF PARTIES For Claimant, Marianne Chopp,'hereinafter referred to as "Claimant": Hugh H. Bernstein, Esq., The Law Of