Award NASD In the Matter of the Arbitration Between: Name of the Claimant PaineWebber Incorporated Name of the Respondent Gustavo Olivera Case Number: 01-00503 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For PaineWebber Incorporated, hereinafter referred to as "Claimant": Lisa A. Catalano, Esq., Davidson, Manchel & Brennan, L.L.P., Northvale, New Jersey. Gustavo Olivera, hereinafter referred to as "Respondent", appeared p

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Carol B. Donnelly and Respondents American Express Financial Advisors, Inc. n/k/a Ameriprise Financial Services and David J. Booko Case Number: 05-01376 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Carol B. Donnelly ("Claimant") was represented by Paul R. Erickson, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ann V. Kingston (Claimant) vs. Myron Stayman and Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondents) Case Number: 05-01370 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant Ann V. Kingston hereinafter referred to as "Claimant": Joan M. Markey, Esq., Joan M. Markey Attorney At Law, New York,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01360 Imran Shams Name of the Respondent Hearing Site: Orlando, Florida H&R Block Financial Advisors, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Imran Shams, hereinafter referred to as "Claimant": Philip J. Snyderbum, Esq., Snyderburn, Rishoi & Swann, Maitland, Florida. For H&R Block Financ

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: David T. Barenbrugge, Theresa E. Barenbrugge, David Barenbrugge IRA and Theresa Barenbrugge IRA, Claimants v. A.G. Edwards & Sons, Inc. and Bart Martinez, Respondents Case Number: 05-01358 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Arthur S. Leider Investors Arbitration

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mukesh Kumar Agarwal (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 05-01355 Hearing Site: Newark, NJ Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Mukesh Kumar Agarwal hereinafter referred to as "Claimant" appeared pro se. Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. hereinafter referred to as "Resp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Sharon L. Hanneken Name of the Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Case Number: 05-01354 Hearing Site: St. Louis, Missouri Nature of the Dispute: Customer vs. Member Firm REPRESENTATION OF PARTIES Sharon L. Hanneken ("Hanneken"), hereinafter referred to as "Claimant": Matthew J. Rossiter, Esq. of Rossiter & Jansky, LLC located in

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cindy and Wally D. Lien, Jt Tenants, Cindy Lien IRA and Wally D. Lien IRA, Claimants v. Morgan Stanley DW Inc., Respondent Case Number: 05-01345 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: William B Young, Jr., Esq. Hooper & Weiss, LLC Orlando, Florida For Respondent: Jonathan D. Robbins, Esq. Mor

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01337 Cornell Co. Investment Corp., (Claimant) vs. North American Clearing, Inc. f/k/a Advantage Trading Group, Inc., (Respondent) ATTORNEYS: For Claimant appeared Barbara A. Mallon, Esq., Mallon & Johnson, P.C., Chicago, IL. For Respondent appeared in-house counsel John Busacca, Longwood, FL. NATURE OF DISPUTE: Member vs. Member DATE FILED: March 10, 2005 CASE SUMMARY: Claimant alle

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: * 0 1 -00497 R.F. Lafferty & Co., Inc. °fth p ff^pnndpfit^ Hearing ^it p ' Philadelphia, PA Stephen J. Drechsler Jay J. Shartsis Weiss, Peck & Greer, LLC OF Claimant, R.F. Lafferty & Co., Inc. ("Lafferty"), hereinafter referred to as "Claimant": Arthur P. Fisch, Esq., New York, NY. Respondent, Stephen J. Drechsler ("Drechsler")? hereinafter refe