Award NASD Dispute Resolution In the Matter of the Arbitration Between: Diann Haynes Custodian For Michael Joseph Haynes, Daniel James Haynes, and Megan Patricia Haynes (Claimants) v. Quick & Reilly, Inc. (Respondent) Case Number: 04-05445 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Diann Haynes Custodian For Michael Joseph Haynes ("Custodian for Michael Haynes"), Daniel James Hayn

;\ 05/05/06 FRI 14:37 FAX NASD REGULATION AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Harry D. Wampler, Jr. and Case Number 04-05439 Hearing Site: Louisville, Kentucky Names of Respondents UBS Financial Services, Inc. f/k/a PaineWebber Inc., Oppenheimer & Co., Inc. f/k/a Fahnestock & Co.. Inc.. Sands Brothers & Co., Ltd., James Yong Song, and Johnson Vinh Ngo OF Customer

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05429 James Patrick Hannley, Claimant v. Stephen A. Kohn & Associates, Ltd., Respondent ATTORNEYS: Claimant James Patrick Hannley ("Claimant") appeared pro se, Tucson, AZ. For Respondent Stephen A. Kohn & Associates, Ltd., ("Respondent") appeared Stephen A. Kohn, President, Stephen A. Kohn & Associates, Ltd., Lakewood, CO. NATURE OF DISPUTE: Associated Person vs. Member. DATE FILED: July

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant ( . Case Number: 04-05427 Simon Edwards Name nf the Respondent Hearing Site: Philadelphia, PA Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant, Simon Edwards, hereinafter referred to as "Claimant", was represented by Dena B. Calo, Esq., Gall

Award NASD Dispute Resolution In the Matter of the Arbitration Between: S. Robi Dutta and Jayati Dutta, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Case Number: 04-05423 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES For Claimants: James H. West, Esq. West & Costello, LLC Baltimore, Maryland For Respondent: Eric J. Glassman, Esq. Mennemeier, Gl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Imogene S. Kaufert, Claimant v. H. D. Vest Investment Services, Inc. and Beler Huy Watts, Jr., Respondents Case Number: 04-05422 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: In Propria Persona Pine Grove, California For Respondents: Thomas F. Kopshever, Esq. Wells Fargo Law

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert J. Fogarty, Claimant v. Fidelity Brokerage Services LLC, Respondent Case Number: 04-05418 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant Robert J. Fogarty: Howard S. Meyers, Esq. Meyers & Heim, LLP New York, New York For Respondent Fidelity Brokerage Services LLC: Corin R. Swift, Esq. and Don Davi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Harry A. Goodwin Name nf the Wachovia Securities, Inc. f!ase Number 04-05416 Hearing Site: Raleigh, North Carolina Nature of the Dispute: Customer vs. Member. RF.PRF.SF.NTATION OF PARTIES Claimant, Harry A. Goodwin, hereinafter referred to as "Claimant", was represented by Darryll Walter Bolduc, Esq., The Bolduc Law Firm, PLLC, Charlotte, North C

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Edward H. Martin and Joyce V. Martin and 04-05414 Nashville, Tennessee Name of Respondents Wachovia Securities, LLC Allan Minton Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Edward H. Martin and Joyce V. Martin ("Claimant") were represented by Thomas C. Jessee, Esq., Jessee & Jessee, Johnson City, Te

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities, Inc., (Claimant) vs. Daniel Bushey, Jr., (Respondent) Case Number: 01-00233 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, First Union Securities, Inc., hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, IL. Respondent, Daniel Bushey, Jr., hereinafter referred to as "Respondent": David S. Erdos,