Award NASD Dispute Resolution In the Matter of the Arbitration B etween: Names nf the Claimants rase Number 05-00680 LeRoy Hoyer and Anna Hoyer individually & as Trustees for Danielle Hoyer, Justin Hoyer, and Jayson Hoyer. Names nf the Respondents Rearing Site! Washington, DC Merrill Lynch, Pierce, Fenner & Smith, Inc. Gregory Benedict Popera John Vincent Greco Kent Weston Overholt Pam Murphy Nature of the Dispute: Customers vs. Memb

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Wachovia Securities, LLC v. 05-00672 Denver, Colorado Respondent Steve Quinn Nature of Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant") was represented by Renan L Sugarman, Esq., of the Law Offices of Renan I. Sugarman, P.C., Chicago, Illinois. Steve Quinn Walter ("Respondent") appeared pro se. CASE

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Lynn and Sharon Leazer and 05-00669 Kansas City, Missouri Name of Respondent Merrill Lynch Pierce Fenner & Smith Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Lynn and Sharon Leazer ("Claimants") were represented by Jeff Musselwhite, Esq. and Darrell Steidley, Esq., Woska & Hayes, LLP, Kingwood, Texas. Merrill Lynch Pierce

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Mack D. Yoakum and Vermeil Yoakum and Names of Respondents Morgan Stanley DW, Inc. and Constance Carpeno Paddock Case Number: 05-00667 Hearing Site; Houston, Texas NATURE OF DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Mack D. and Vermeil Yoakum, hereinafter collectively referred to as "Claimants,"

NASD REGULATION Award NASD Dispute Resolution In the Matter of the Arbitration Between: i Daniel J. Chiljean (Claimant) vs. Merrill, Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 05-00648 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Daniel J. Chiljean hereinafter referred to as "Claimant": Robert T. Barnard, Esq., Thompson & Hine, New York, NY. Previously

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fidelity Brokerage Services, Inc. (Claimant) v. William A. Stockwell and Linsco/Prrivate Ledger Corp. (Respondents) Case Number: 05-00644 Hearing Site: Boston, Massachusetts Nature of Dispute: Member v. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Fidelity Brokerage Services, Inc ("Fidelity") hereinafter referred to as "Claimant": P. Russell Perdew

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00639 Beth Klar, (Claimant) vs. UBS Financial Services Inc., (Respondent) ATTORNEYS: For Claimant appeared Gregory S, Tendrich, Esq., of the firm Law Office of Gregory S. Tendrich, P.A., Boca Raton, FL. For Respondent appeared in-house counsel Edward Durkin, Esq., Weehawken, NJ. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 21, 2005 CASE SUMMARY: Claimant alleged that bec

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00638 Lincoln Investment Planning, Inc., (Claimant) vs. William F. Donahue, (Respondent) ATTORNEYS: For Claimant appeared Scott H. Wolpert, Esq., of the firm Timoney Knox, LLP, Fort Washington, PA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person ~ DATE FILED: February 1, 2005 CASE SUMMARY: Claimant alleged that Respondent

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ralph Miller, Claimant v. Sutro & Co., Incorporated and Timothy L. Jensen, Respondents Case Number: 01-00464 Hearing Site: Portland, OR REPRESENTATION OF PARTIES For Claimant: Steven M. Wilker, Esq. Tonken Torp, LLP 1600 Pioneer Tower 888 SW Fifth Avenue Portland, OR 97204 For Respondents: Thomas V. Dulcich, Esq. Schwabe, Williamson & Wyatt, P.C 1211 S.

Award NASD Dispute Resolution fn the Matter of the Arbitration Between: A. G. Edwards & Sons, Inc. (Claimant) vs. Charles J. Cavanaugh (Respondent) vs. Citigroup Global Markets, inc. (Third Party Respondent) Case Number: 05-00637 Hearing Site: Hartford, Connecticut Nature of the Dispute: Member vs. Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant A. G. Edwards & Sons, Inc. ("Edwards") hereinafter referred to as "Claimant": Nuviah Shi