Award NASD Dispute Resolution In the Matter of the Arbitration Between: John D. Wee, Claimant v. Charles Schwab & Co., Inc., Respondent Charles Schwab & Co., Inc., Third-Party Claimant v. John L. Wee, Third-Party Respondent John L. Wee, Counter-Claimant v. Charles Schwab & Co., Inc., Counter-Respondent John L. Wee, Cross-Claimant v. John D. Wee, Cross-Respondent John D. Wee, Cross-Claimant v. Charles Schwab & Co., Inc., Cross-Respondent Case Number

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Thomas (Claimant) vs. UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc. and Donald F. Rothermich (Respondents) Case Number: 04-07653 Hearing Site: Columbus. Ohio Nature of the Dispute: Customer vs. Member and Associated Person. V t REPRESENTATION OF PARTIES Claimant David Thomas hereinafter referred to as "Claimant": Robert Bertsch, Esq., Bertsch & Associates, P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01 -00352 SII Investments, Inc. f/k/a Secura Investments, Inc. Name of the Respondent/ Counter Claimant /Third Party Claimant Donald E. Wallace Hearing Site: Tampa, FL Names of the Third Party Respondents Mark M. Oswald Peter M. Johnson Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For SII Investm

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Investments, LLC, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Martin Hare, Respondents Martin Hare, Counter-Claimant v. Wells Fargo Investments, LLC, Counter-Respondent Martin Hare, Third-Party Claimant v. John J. Peluso, Michael E. Dutton, and James P. Kerr, Third-Party Respondents Case Number: 04-07649 Hearing Site: Seattle, Washin

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant The Rita B. Miller, individually and as Trustee of the Rita B. Miller Trust and 04-07648 Chicago, Illinois Name of Respondents Edward D. Jones & Co. Daniel Joseph Holohan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES The Rita B. Miller, individually and as Trustee of the Rita B. Miller Trust ("Claimant

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07634 Christ Averkiou IRA (Claimant) v. Bane of America Investment Services (Respondent) ATTORNEYS: Claimant appeared pro se, Santa Fe, NM. For Respondent Bane of America Investment Services ("Respondent") appeared Deborah Howard, Esq., in-house counsel, Charlotte, NC. NATURE OF DISPUTE: Customer vs. Member. DATE FILED: October 28, 2004. CASE SUMMARY: Claimant alleged that Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Legg Mason Wood Walker, Inc. (Claimant) vs. Timothy Carmichael (Respondent) Case Number: 04-07628 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Legg Mason Wood Walker, Inc. hereinafter referred to as ("Claimant"): Gretchen L. Klebasko, Esq., Legg Mason Wood Walker, Inc., Baltimore, MD. Timothy Carmichael hereinaft

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Daniel S. Massey, Claimant v. Charles Schwab & Co., Inc., Respondent Case Number: 04-07619 Hearing Site: Phoenix, Arizona Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: For Respondent: W. Scott Greco, Esq. Frederick D. Greco, Esq. Greco & Greco, P.C. McLean, Virginia Karen Gillen, Esq. James Thomas Tucker, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Montauk Securities Corp., Claimant v. Michael J. Febert, Respondent Case Number: 04-07612 Hearing Site: Seattle, Washington Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Joel Levinson, Esq. First Montauk Group LLC Red Bank, New Jersey For Respondent: Michael J. Febert Pro Se Olympia, Washington CASE INFORMATION

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rafik Kamell, Claimant v. Man Securities, Inc., Respondent Case Number: 04-07610 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Jeff Dennis Ferentz, Esq. Nationwide Securities Arbitration Services, Inc. Newport Beach, California For Respondent: William J. Nissen, Esq. Sidley Austin Brown & Wood, LLP