Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-00130 Larry Bishop Name of the Respondent Hearing Site: Memphis, TN Morgan Stanley DW, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Larry Bishop, hereinafter referred to as "Claimant": H. Naill Falls, Jr., Esq., Falls & Veach, Nashville, TN. For Morgan Stanley DW, Inc. ("MSDW"), hereinafter referred t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Newton (Claimant) v. Paul Cromey and Wachovia Securities, LLC, Successor in Interest to First Union Securities (Respondents) Case Number: 05-00115 Hearing Site: Buffalo, New York Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant James Newton hereinafter referred to as "Claimant": Erika N.D. Stanat, Esq., Harter Secrest & Eme

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roupinian Life Insurance Trust DTD 9/9/97, Claimant v, UBS Financial Services Inc. and John Orr, Respondents Case Number: 05-00108 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Paul and Juli Roupinian, Trustees In Propria Persona Rancho Palos Verdes, California For Respondents

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-00107 Paul Jones Name of the Respondents Hearing Site: Dallas, Texas D.E. Frey & Company, Inc.; The (Wilson) Williams Financial Group; Lewis & Lewis Securities, Inc.; Ronald E. Lewis; and, America Skandia Marketing, Inc. NATURE OF THEJ3ISPUTE Public Customer vs, Member Firms, Non-Member Firm and Associated Persons REPRESENTATI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Viktor Suslovsky, Claimant v. Credit Suisse First Boston LLC, Thomas M. Galvin and Frank P. Quattrone, Respondents Case Number: 05-00101 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: For Respondent Credit Suisse First Boston LLC: For Respondent Thomas M. Galvin: For Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-00095 Norb Yenish Thomas J. Yenish Names of the Respondents Hearing Site: Tampa, Florida Kevin Kamrowski US Bancorp Piper Jaffray Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Norb Yenish ("Norb Yenish") and Thomas J. Yenish ("TJ Yenish"), hereinafter collectively referred to as "Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Albert L. Potter II and FBO Albert L. Potter II SEP (Claimants) vs. Edward Jones (Respondent) Case Number: 05-00089 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Albert L. Potter II ("Potter") and FBO Albert L. Potter II SEP ("Potter SEP") hereinafter referred to as "Claimants": David P. Meyer, Esq., Meyer & Associates C

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-00427 Paine Webber Incoporated, claimant vs. Morgan Pridemore, respondent. ATTORNEYS: For Claimant appeared Romaine L. Gardner, Esq., Staten Island, NY. Respondent did not appear. DATE FILED: January 26, 2001 CASE SUMMARY: Claimant alleged respondent made an unsolicited buy of 50,000 shares of Orthalliance Inc-CLA and failed to pay for said shares creating a debit balance in his ac

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00077 Bette Baer (Claimant) v. Garden State Securities, Inc. and Wells Fargo Investments, LLC (Respondents) ATTORNEYS: Claimant Bette Baer ("Claimant") appeared pro se, Lambertville, NJ. For Respondent Garden State Securities, Inc. appeared Christopher J. Lane, Vice President, Garden State Securities, Inc., Wall, NJ. For Respondent Wells Fargo Investments, LLC appeared Thomas F. Kopsheve

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00068 Lidia S. Lavallen (Claimant) v. Wells Fargo Investments, LLC ATTORNEYS: Claimant Lidia S. Lavallen ("Claimant") appeared pro se, Las Vegas, NV. For Respondent Wells Fargo Investments, LLC ("Respondent") appeared Thomas F. Kopshever, Esq., in-house counsel, Wells Fargo Investments, LLC, San Francisco, CA. NATURE OF DISPUTE: Customer vs. Member. DATE FILED: January 5, 2005. CASE