NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00451 Raleigh Truitt, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Westfield, NJ. For Respondent appeared in-house counsel Alan S. Rafterman, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: January 17, 2005 CASE SUMMARY: Claimant alleged that Respondent charged fees for trades in an account that h

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alice Kelly, Pearl Daniels and Phyllis Crank ("Claimants") v. Gilbert C. Varnes, Jr., USAllianz Securities, Inc., i/k/a LifeUSA Securities, Inc. ("Respondents") Case Number: 05-00449 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Alice Kelly ("Kelly"), Pearl Daniels ("Daniels"), and Phyllis Crank

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lynda Woods Cleary (Claimant) v. USAllianz Securities, Inc. (Respondent) Case Number: 05-00447 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Lynda Woods Cleary ("Cleary") hereinafter referred to as "Claimant" appeared pro se. Respondent USAllianz Securities, Inc. ("USAllianz") hereinafter referred to as "Respo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants James R. "Jim" Merrick and Marieda Joyce Merrick and Case Number: 05-00443 Hearing Site: Houston, Texas Respondent Morgan Stanley DW, Inc. NATURE OF DISPUTE Customers v. Member REPRESENTATION OF PARTIES James R. "Jim" Merrick and Marieda Joyce Merrick ("Claimants") were represented by Rosalind. M. Robertson, Esq., and Sean M. Keane, Esq., Simmons Cooper

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant • David Brian Sullivan and Names of Respondents Augustus Capital, LLC, and Mark Alan Abeshouse Case Number: .05-00439 Hearing Site: Chicago, Illinois NATURE OF DISPUTE Associated Person v. Member Firm and Associated Person REPRESENTATION OF PARTIES David Brian Sullivan ("Claimant") appeared 1 pro sel ; .. .. ' ' , Augustus

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jan M. Miller, Claimant v. Prudential Securities, Inc. n/k/a Prudential Equity Group, LLC, Wachovia Securities, LLC and Joseph Tomkiewicz, Respondents Case Number: 05-00435 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: Mitchell S. Ostwald, Esq. Law Offices of Mitchell S. Ostwald

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Robert Clauss and Prime Charter Ltd. and Craig M. Skop 01-00458 Omaha, Nebraska REPRESENTATION OF PARTIES Robert Clauss ("Claimant") who is a lawyer, represented himself. Prime Charter, Ltd. ("Prime Charter") and Craig M. Skop ("Skop"), hereinafter referred to as "Respondents," were represented by Evelyn Bukchin, Esq., Prime Charter Ltd., New York, New York.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Deepika Arora, Claimant v. Carl A. Giangrande and Vineet Goel, Respondents > Case Number: 05-00432 ' Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Associated Persons REPRESENTATION OF PARTIES For Claimant: In Propria Persona Fremont, California For Respondent Carl A. Giangrande: In Propria Persona Lindenhurst, New York V. -i 1 For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jack Richards, Claimant v. First Securities USA, Inc., Brookstreet Securities Corp., and Miller Johnson Steichen Kinnard, Inc., Respondents Case Number: 05-00431 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Members REPRESENTATION OF PARTIES For Claimant: Robert M. Moss, Esq. Law Offices of Robert M. Moss, Esq. Santa Monica, California For Resp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stephen Pugliese (Claimant) vs. Spear, Leeds & Kellogg, L.P./Goldman Sachs Execution & Clearing, L.P., and Goldman Sachs & Co. (Respondents) Case Number: 05-00427 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Members REPRESENTATION OF PARTIES Claimant Stephen Pugliese hereinafter referred to as "Claimant": David M. Fish, Esq. Previously represente