Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: E. Richard Meinert and Sharon Meinert, Claimants v. Raymond James Financial Services, Inc. and Peter Wesson Cline, Respondents Case Number: 04-08649 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: John A. Bender, Esq. Ryan, Swanson & Cleveland, PLLC Seattle, Washington

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08641 Donald C. Laughrey, IRA and Viriginia J. Laughrey, IRA, (Claimants) vs. Davidson Trust Co., (Respondent) ATTORNEYS: ~~ ~~ Claimants appeared pro se, Vacaville, CA. For Respondent appeared Thomas A. Marra, Esq., of the firm Marra, Sexe & Evenson, P.C., Great Falls, MT. NATURE OF DISPUTE: Customers vs. Non-Member DATE FILED: December 23, 2004 CASE SUMMARY: Claimants alleged t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08637 Hershel and Phyllis Houk (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) ATTORNEYS: For Claimants Hershel and Phyllis Houk (collectively "Claimants") appeared Debra Brewer Hayes, Esq., of the firm Woska & Hayes, LLP, Kingwood, TX. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Angela A. Turiano, Esq., in-house counsel, Mer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sheldon Keitel (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc. (Respondent) Case Number: 04-08630 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Sheldon Keitei hereinafter referred to as "Claimant" appeared pro se. Previously represented by Milton H. Fried, Jr. Esq., Woska & Hayes, LLP, Kingwood, TX. Res

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Charles J. Hazlett Names of the Respondents Wachovia Securities, LLC Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated Case Number: 04-08628 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Charles J. Hazlett, hereinafter referred to as "Claimant": Richard M. Bales

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Beiton O. Watson and Respondents SunAmerica Securities, Inc., Shirell L. McNee. and David Tapper Case Number: 04-08622 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Beiton O. Watson ("Claimant") was represented by Lawrence M. Elkus, Esq., Law Office of Lawrence M. E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-08621 UBS Financial Services Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Akhtar Zaman Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Services Inc., hereinafter referred to as "Claimant": Lisa A. Catalano, Esq., Davidson & Grannum, LLP, Orangeburg, New York. Respondent Ak

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of thft r!laimants Dean Surnma Tamara Romanini Summa Names nfthe Respondents Wachovia Securities, LLG Robert B. Fitzpatrick rase Number: 04-08618 ng Site- Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person. RRPRF.SFNTATIOM OF PARTIES Claimants, Dean Summa and Tamara Romanini Summa, hereinafter collectively referred

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jason Klabai, (Claimant) vs. Israel Katcher and Katcher Enterprises, (Respondents) Case Number: 01-00407 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Jason Klabai, hereinafter referred to as "Claimant": Malcolm Taub, Esq., Taub & Showman LLP, New York, NY. Previously represented by: Pamela Budin, Esq., Malcolm S. Taub, LLP, New York, NY. Respondent,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-08609 Edgar Botero-Henao Amparo Botero de Malkun Lucila Henao de Botero Katherine Prieto de Botero Edgar Botero as Custodian for Edgar Felipe Edgar Botero as Custodian for Stephanie Botero Edgar Botero as Signatory for Inversiones Kierans Ltda. Edgar Botero as Custodian for Alexandria Botero Edgar Botero as Custodian for Alexand