AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Virginia Yeager and Case Number: 04-07411 Hearing Site: Omaha, Nebraska Names of Respondents Morgan Stanley DW, Inc., and Ryan M. Jochim NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Virginia Yeager ("Yeager" or "Claimant") was represented by Gail E. Boliver, Esq., Boliver Law Firm, Omaha, Nebraska. M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margarita M. Botero-Johnson, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Gregory M. Lee, Respondents Case Number: 04-07398 Hearing Site: Phoenix, Arizona Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Armand Salese, Esq. Law Offices of Armand Salese PLLC Tucson, Arizona For Respo

r* NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07387 Max Safir Revocable Trust, Claimant v. UBS Financial Services, Inc. and Charles Lore, Respondents ATTORNEYS: For Claimant Max Safir Revocable Trust ("Claimant") appeared I. Michael Bayda, Esq., of the firm Jacobs Persinger & Parker, New York, NY. For Respondents UBS Financial Services, Inc. and Charles Lore (collectively "Respondents") appeared Edmund J. Shea, Esq., in-house

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bill and Nancy Weakley and Don and Catherine Carpenter (Claimants) v. Merrill Lynch Pierce Fenner & Smith, Inc., Kevin Cox, and Joe Vinciguerra (Respondents) Case Number: 04-07383 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Bill Weakley ("B. Weakley"), Nancy Weakley ("N. Weakley") Don Carpenter ("

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Giuseppe and Isabella Soldano (Claimants) v. First Montauk Securities Corp. (Respondent) Case Number: 04-07379 Hearing Site: New York City, New York Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES Claimants Giuseppe Soldano ("G. Soldano") and Isabella Soldano ("I. Soldano"), hereinafter collectively referred to as "Claimants": Brian Kennedy Esq., Law Office of B

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00326 Dean Witter Reynolds, Inc., claimant vs. Steven Leveille, respondent. ATTORNEYS: For Claimant appeared Michael A. Kraft, Esq. of the firm Kane & Fischer, Ltd., Chicago, IL. Respondent appeared Pro Se, Chicago, IL. DATE FILED: January 22, 2001 CASE SUMMARY: Claimant alleged that respondent breached his employment agreement when he failed to repay monies owed under the agreement

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Wilda Colon David Colon Names of the Respondents Oppenheimer & Co., Inc. (fka Prime Charter Ltd. and Fahnestock & Co.) Meyers Associates, LP Name of Third Party Respondent Diego Carmona Case Number: 04-07373 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member vs. Associated Person. REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07370 Hanna Enterprises, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Bear Steams & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Hanna Enterprise, LLC, hereinafter referred to as "Claimant": Steven M. McCauley, Esq., Lexington, Kentucky. For Bear Stearns & Company, Inc., herei

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant North Trust Securities, Inc. Names of the Respondents Adele Winter Revocable Trust U/A/D 1/12/93 and Diance I. Wendin Case Number: 04-07365 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTTES For North Trust Securities, hereinafter referred to as "Claimant": Steven M. Malina, Esq., an

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07363 Joseph Nye IRA, Claimant v. Fred Kahn and Kevin Boyce, Respondents ATTORNEYS: Claimant Joseph Nye IRA ("Claimant") appeared pro se, Groton, NY. For Respondents Fred Kahn and Kevin Boyce (collectively "Respondents") appeared D. Jeffrey Gosch, Esq., Syracuse, NY. NATURE OF DISPUTE: Customer vs. Associated Persons. DATE FILED: October 13, 2004. CASE SUMMARY: Claimant alleged that