Award NASD Dispute Resolution In the Matter of the Arbitration Between: Irving H. Boim & Lawrence Jempolsky Trustees of Max & Gussie Boim LIU Tr. DTD 9/10/93 FBO Irving H. Boim (Claimant) vs. Fahnestock & Co., Inc. n/k/a Oppenheimer & Co., Inc. (Respondent) Case Number: 05-01315 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Irving H. Boim & Lawrence Jempolsky Trustees of Max & Gussie B

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01313 Cynthia Gray, Cynthia Gray, IRA and Cynthia Gray, Custodian for Nicole A. Sullivan (Claimants) vs. David Lerner Associates, (Respondent) ATTORNEYS: ~~~~~ For Claimants appeared Howard S. Myers, Esq., of New York Law School Legal Services, Inc., New York, NY. For Respondent appeared in-house counsel Joseph C. Pickard, Esq., Syosset, NY. Claimants Cynthia Gray, Cynthia Gray, IRA and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dolores White, individually and on behalf of the Dolores White IRA, Claimant v. A.G. Edwards & Sons, Inc., Respondent Case Number: 05-01300 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Philip M. Aidikoff, Esq. Orousha Brocious, Esq. Aidikoff, Uhl & Bakhtiari Beverly Hills, California For Respo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Edward D. Jones & Co. and Name of Respondent Howell G. Ferguson Case Number: 05-01253 Hearing Site: Houston, Texas NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Edward D. Jones & Co. ("Claimant" or "Edward Jones") was represented by J. Christopher Wehrte, Esq., Goldberg Wehrle LLC, St. Louis, Missouri. Howell

NASH DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01249 Calvin G. McDonald, (Claimant) v$. Morgan Stanley DW Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Warrenton, VA, For Respondent appeared Michael D. WaHander, Esq, of the firm Greeoberg Tranrig, PA., West Palm Beach, FL. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 7,2005 CASE SUMMARY: aaimant alleged purchase thai "odd lot shares'* of stock could not

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimants ' • Cage Number* 05-01244 William Abraham Judith Abraham Names nf the Respondents Hearing Site* Raleigh, North Carolina Advest, Inc. Edward Carlsen, Sr. Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, William Abraham and Judith Abraham, hereinafter collectively referred to as "Claimants", were r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William J. Young (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc., Michael Parziale, Richard ma and Daniel Morilak (Respondents) Case Number: 05-01233 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant William J. Young hereinafter referred to as "Claimant": James S. Jones, James S. Jones, L.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01222 Julie McCashin, (Claimant) vs. Wachovia Securities, LLC and Terry Lester, (Respondents) ATTORNEYS: " " " Claimant appeared pro se, Houston, TX. For Respondents appeared in-house counsel Demian J. Betz, Esq., Richmond, VA. NATURE OF DISPUTE: Customer vs. Member and Associated Person DATE FILED: March 8, 2005 CASE SUMMARY: Claimant alleged that Respondents recommended and placed her

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01221 Mark Poveromo, (Claimant) vs. Brian John Wahlfeld, (Respondent) ATTORNEYS: ~~~ Claimant appeared pro se, Woodbury, CT. Respondent appeared pro se, Remsenburg, NY. NATURE OF DISPUTE: Customer vs. Associated Person DATE FILED: March 7, 2005 CASE SUMMARY: Claimant alleged that Respondent omitted and misrepresented facts regarding his investments. Claimant maintained that due to Re

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: William Dotsikas, Claimant Vs. Raymond James & Associates, Inc., and Ralph £. DeRose, Respondents. Case Number: 01-00494 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant William Dotsikas ("Dotsikas"), was represented by John S. Chapman, Esquire, Cleveland, Ohio. Respondents Raymond James & Associates, Inc. ("Raymond James"), and Ralph E.