Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harold Spizer, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Linda Lee Flower, and Gregory Lee Leahy, Respondents Case Number: 04-05562 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: William S. Bonnheim, Esq. William S. Bonnheim, PLC Palm Desert, Calif

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank J. Walker and Frank J. Walker IRA (Claimants) v. Merrill Lynch Pierce Fenner and Smith and Dale E. Belz (Respondents) Case Number: 04-05555 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Frank J. Walker ("Walker") and Frank J. Walker IRA ("Walker IRA"), hereinafter collectively referred

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James R. Jankowski and Names of Respondents Prudential Equity Group, LLC, Wachovia Securities, LLC, Jeffrey Scott Roblyer, and Michael E. Murray Case Number: 04-05550 Hearing Site: Oklahoma City, Oklahoma NATURE OF DISPUTE Customer v. Members and Associated Persons REPRESENTATION OF PARTIES James R. Jankowski ("Claimant") was represent

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Stephanie Gary and Case Number: 04-05549 Hearing Site: Houston, Texas Names of Respondents UBS Financial Services, Inc., Joseph Jordan Cunneff, John Arthur Hicks, and Lydia Monroe Sullivan NATURE OF DISPUTE Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Stephanie Gary ("Claimant") was represented by Ross Spence, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Maybetty B. Calvo Priscilla Calvo Jose Vasquez Names nf the Respondent Max International Broker/Dealer Corp. David Scott Isolano Danny Dean Giraldo Case Number: 04-05547 Hearing Site- Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTTF.S Claimants Maybetty B. Calvo (

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James H. Sutton and Names of Respondents Morgan Stanley DW, Inc., and Mark J. Braunger Case Number: 04-05545 Hearing Site: Omaha, Nebraska NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES James H. Sutton ("Sutton" or "Claimant") was represented by Brenton D. Soderstrum, Esq., Brown, Winick, Graves, Gross

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nflm* n f *h ft naima^tfi rgg^TJnmhfr 01-00242 Marion L. Zorn; Skylark Vending Profit Sharing Trust; James H. and Judy Dryja; Ellen G. Yaeger; and Rudolf A. and Hildegard A. Heinrich nf fhp "Rpgpn^Hp.f]^ H ff flP n s S-ifft- Indianapolis, Indiana Prentice Securities Inc.; Louis M. Kornman; and Timothy D. Morales Claimants Marion L.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morris Gad and Fran Gad (Claimants) v. Brad Parker (Respondent) Case Number: 04-05542 Hearing Site: New York, New York Nature of the Dispute: Customers v. Associated Person. REPRESENTATION OF PARTIES Claimants Morris Gad ("M. Gad") and Fran Gad ("F. Gad") hereinafter collectively referred to as "Claimants": Benjamin Lapin, Stock Market Recovery Consultants, Inc., Brooklyn, NY. P

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Nextrade, Inc. (Claimant) v. International Securities Corp., Donald & Company Securities, Inc., Auerbach Pollack & Richardson, Inc., F-l Trading.com, GMST World Markets, Inc. and Rumson Capital LLC (Respondents) Case Number: 04-05531 SITUS: Tampa, Florida. NATURE OF DISPUTE: Member v. Member REPRESENTATION OF PARTIES For Nextrade, Inc., hereinafter referred to as "Claimant"

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Joseph Ford Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Gregg A. Marks Dominic K. Tomeo Case Number: 04-05526 Hearing Site: Philadelphia, PA Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Joseph Ford "Claimant", was represented by Steven Janove, Esq., Ced