Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Jean C. Bonadio Linda J. Moreno Name of the Respondent Legend Equities Corporation Case Number: 04-04341 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jean C. Bonadio ("Bonadio") and Linda J. Moreno ("Moreno"), hereinafter collectively referred to as "Claimants": Joel A. Goodman,

-a 4 * * AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Bane One Securities Corporation and 04-04340 Chicago, Illinois Name of Respondent Abdul B. Mughal Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Bane One Securities Corporation ("Claimant") was represented by Kenneth F. Berg, Esq., Ulmer & Berne LIP, Chicago, Illinois. Abdul B. Mughal ("Respondent") did

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carol Howe, individually and as co-trustee and beneficiary of the David E. Howe Trust and for the Estate of David Howe, Claimants v. Wachovia Securities, LLC, Respondent Case Number: 04-04336 Hearing Site: Helena, Montana Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Linda M. Deola, Esq. Reynolds, Motl and Sherwood Helena, Montana

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants . - • . , '. ' i . Helen D. Logarakis, Ind and as Trustee of The Eliopoulos Family Limited Partnership and . 04-04334 t Chicago, Illinois Name of Respondents ; Stifel, Nicolaus < fc Co., Inc. • Stephen Straus , Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PATCHES Helen p.'Jj^garakis, hidand as Tru

Award NASD Dispute Resolution In the Matter of the Arbitration Between: * WumViRr- 04-04332 Donald R. Johnston ^ flf thf F^ s p nnf ^nt Hearing Sit fil Dallas, Texas InterSecurities, Inc. and Gregory James Hildebrand OT F. Public Customer v. Member Firm and Associated Person OF Claimant Donald R. Johnston, hereinafter referred to as "Claimant": Richard H. Elliot, Esq. of the Law Offices of Richard H. Elliot, locat

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Kevin Patrick Gerard and Case Number: 04-04330 Hearing Site: Milwaukee, Wisconsin Name of Respondents Carl M. Hennig, Inc., Thomas Alan Harenburg, Mark Allen Stoffel, Jack W. Schloesser, Tom Nigil, and William R. Holtz NATURE OF DISPUTE Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant, Kevin Patrick Gerard, ("Gera

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04316 Gail Osburn TTEE for Gail Osburn Trust Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Gail Osburn TTEE for Gail Osburn Trust, hereinafter referred

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04305 Angelo DePergola and Debra A. DePergola, JT TEN, Claimants v. Ameritrade, Inc., Respondent ATTORNEYS: Claimants Angelo DePergola and Debra A. DePergola, JT TEN (collectively "Claimants") appeared pro se, through Angelo DePergola, Palm Harbor, FL. For Respondent Ameritrade, Inc. ("Respondent") appeared James J. Vihstadt, Esq., in-house counsel, Ameritrade, Inc., Omaha, ME. NATURE OF

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thp Claimants Abigail S. Anderson and Alexandra Anderson Name of the Respondents Advest, Inc. Advest Bank & Trust Company rase Nnmher 04-04301 ng Site! Pittsburgh, Pennsylvania Nature of the Dispute: Customers vs. Member and Non-Member. RFPRF,SF.NTATTON OF PARTTFS Claimants, Abigail S. Anderson and Alexandra Anderson, hereinafter collectively referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David M. Rosen (Claimant) v. Bear Stearns & Co., Inc., and Paul S. Greenberg (Respondents) Hearing Site: New York, New York Case Number: 01-00167 REPRESENTATION OF PARTIES Claimant David M. Rosen, hereinafter referred to as "Claimant": Jeffrey Liddle, Esq., Liddle & Robinson, LLP, New York, NY. Respondents, Bear Stearns & Co., Inc., ("Bear Stearns") and Paul S. Greenberg ("G