Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Mark Herman and Norma Herman vs. Case Number: 04-7600 Hearing Site: Houston, Texas Names of Respondents RBC Dain Rauscher, Inc. and Mark Steven Baker NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Mark Herman and Norma Herman ("Claimants") were represented by Joel H. Pullen, Esq., Pulma

Amended 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 S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Oliver Richard Butler Name of the Respondent Cuna Brokerage Services, Inc. Case Number: 04-07594 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Oliver Richard Butler, hereinafter referred to as "Claimant": Charles C. Hunter, Esq., Woska and Hayes, L.L.P., Kingwood, Texas. For Cuna Brok

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Florence Cassano (Claimant) v. Stephen G. Powers and A.G. Edwards & Sons, Inc. (Respondents) Case Number: 04-07589 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Florence Cassano hereinafter referred to as "Claimant": Eric J. Sussman, Esq., Garden City, NY. Respondent Stephen G. Powers ("Pow

Award NASD Dispute Resolution In the Matter of the Arbitration Between:' Elizabeth Appel and Victor Goncharoff, Jr., JTWROS, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Respondent i Case Number: 04-07585 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES i For Claimants Elizabeth Appel and Victor Goncharoff, Jr., JTWROS: Elizabeth Appel Victor Goncharoff, Jr. P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard LeBranti and Dennis Doble (Claimants) v. Stephen M. Foustoukos (Respondent) Case Number: 04-07584 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Persons v. Associated Person REPRESENTATION OF PARTIES Claimants Richard LeBranti ("LeBranti") and Dennis Doble ("Doble"), hereinafter collectively referred to as "Claimants": Thomas G. Nicholson, Esq., Finner

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Clyde J. and Marvelyn J. Cornell and Names of Respondents Landenburg Thalman & Co., Inc. and Gene Sal Cicero Case Number: 04-07583 Hearing Site: Milwaukee, Wisconsin NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Clyde J. and Marvelyn J. Cornell ("Claimants") were represented by George Burnett, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jean Yannick Liatis (Claimant) vs. Oddo Securities Corporation and Philippe F. Oddo (Respondents) Case Number: 04-07571 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Jean Yannick Liatis hereinafter referred to as "Claimant": Kevin T. Hoffman, Esq., Law Offices of Kevin T. Hoffman, Gre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: i i Names nf thft f!1ainiflnts David K.C. Cooper and Amy Lee Cooper rase Number 04-07570 Names nf the Respondents UBS Financial Services, Inc., Mark Province, Marie Sutton Christopher D. Dickens. Hearing Sire- Pittsburgh, PA Nature of the Dispute: Customers vs. Member and Associated Persons. RKPRF.SKNTAT1ON OF PAttTTFS Claimants, David K.C. Cooper and Amy

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Harry Cole Yarbrough Name of the Respondent Citigroup Global Markets, Inc., d/b/a Smith Barney Brian Fitzgerald Case Number: 04-07567 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Harry Cole Yarbrough, hereinafter referred to as "Claimant": G. Michael Smith, Esq.