NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08600 Jacques Mertens, (Claimant) vs. Ameritrade, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Belgium. For Respondent appeared in-house counsel, James J. Vihstadt, Omaha, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: December 16, 2004 CASE SUMMARY: Claimant alleged that Respondent communicated inaccurate information to the IRS, causing Claimant to have to pay pen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Camilo F. Jimenez (Claimant) v. UBS Securities, LLC (Respondent) Case Number: 04-08599 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Camilo F. Jimenez ("Jimenez") hereinafter referred to as "Claimant": Appeared pro se. Respondent UBS Securities, LLC ("UBS") hereinafter referred to as "Respondent": Rachel M.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-0858? Clatk Street Capitol, Inc. (Claimant) v. Adam Heng (Respondent) ATTORNEYS: For Claimant Clark Street Capital, Inc. ("Claimant* 9 } appeared M. David Sayid, Esq., Said and Associates, LLP, New York, NY, Respondent Adam Heng ("Respondent") did not submit a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: December 20, 2004. CA

Stipulated Award NASD Dispute Resolution IRA FBO KENNETH R. LEESON , DLJSC AS CUSTODIAN ROLLOVER ACCOUNT, IRA FBO KENNETH R. LEESON, DLJSC AS CUSTODIAN, and KENNETH R. LEESON AND PATRICIA I. LEESON AS JOINT TENANTS NASD Case No. 04-08582 Hearing Site: Milwaukee, Wisconsin Claimants, vs. B.C. ZIEGLER AND COMPANY and DAVID C. KOVALASKE, Respondents. NATURE OE THE DISPUTE Customers vs. Member Firm and Associated Person

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Cast* Number 04-08579 New England Securities Corporation New England Life Insurance Company Names of the Respondents Hearing Site: Wilmington, DE Jeffery T. Bonifacino, Richard Hewitt, Robert Porter, Michael A. Alfonso, William W. Ilgenfritz, and Samuel A. Phillips. Nature of the Dispute: Member and Non-Member vs. Associated Person. RFPRF.SETVTATrO

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-08575 Anthony Oliva Barbara Oliva Names of the Respondents Hearing Site: Atlanta, Georgia Morgan Stanley DW, Inc. Joseph Michael Angioi Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Anthony Oliva and Barbara Oliva, hereinafter collectively referred to as "Claimants": Henry D. Fel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kevin Flannery, Claimant v. Wachovia Securities, LLC and Douglas J. Wride, Respondents Case Number: 04-08571 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Robert K. Rothfeder, Esq. Winder & Haslam Salt Lake City, Utah For Respondent Wachovia Securities LLC: William Mark, Esq. Mic

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joshua S. Cunningham and Case Number, 04-08568 Hearing Site: Houston, Texas Names of Respondents Edward D. Jones & Co. and • '. , Stanley Alvin Cunningham . NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Joshua S. Cunningham ("Claimant") was represented by Lisa L. Fountain, Esq'., The Law Office of Li

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08556 Anthony V. Serba (Claimant) v. D. Mark Tidwell (Respondent) ATTORNEYS: Claimant Anthony V. Serba ("Claimant") appeared pro se, Houston, TX. For Respondent D. Mark Tidwell ("Respondent") appeared Keith Lorenze, of the firm Ogden, Gibson, White, Broocks & Longoria, LLP, Houston, TX. NATURE OF DISPUTE: Customer vs. Associated Person. DATE FILED: December 15, 2004. CASE SUMMARY: Cl

OCT. 3.ZG01 12156PM NPSD REGULATION . NO.431 P.3/9 » NATIONAL ASSOCIATION OF SECURITIES Di^JLERS, ISC- ROBERTA M. NELSON", Individually and a* Trustee of the Roberta M. Nelson Revocable \ Trust, RAY BARNETT and IBs Wife ADELLE E. BABNETT, JAMES LINDSEY, and his wife MARY LOU LENDSEY, ALEXANDER A LOBATO, and CLIFFORD IvL SIMS> JR. and Trustees of the Clifford M. Sims, Jr. Revocable living Trust Claimants v, EDGAR L. MCLEAN • a