Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00869 Robert A. Buchanan Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley Dean Witter Gary Christensen Teri Salach Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert A. Buchanan, ("Buchanan") hereinafter referred to as "Claimant": Jason R. Doss, Esq

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Derrick Clint Vamey and Regina Gayle Varney and Names of Respondents Prudential Equity Group, LLC, Jeffrey Daniel Holthouse and Donald R. Dentinger 04-00865 Louisville, Kentucky NATURE OF THE DISPUTE Customers vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES Derrick Clint Vamey and Regina Gayle Varney ("Varneys"), hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number- 04-00860 Wachovia Securities, LLC Name of the Respondent Hearing Site- Philadelphia, PA Robert P. Schulte, Jr. Nature of the Dispute: Member vs. Associated Person RF.PKFSFNTATTON OF PARTTFS Claimant, Wachovia Securities, LLC, hereinafter referred to as "Claimant", was represented by Jonathan E. Levine, Esq., Law Offices of Daniel S. Fiore, A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant. Malik Medical Associates Case Number 04-00842 Name of the Respondent Wachovia Securities, LLC Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Malik Medical Associates, hereinafter referred to as "Claimant", was represented by Michael J. Berts, Esq., Betts Law Office, Pittsbur

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Antoinette Gleeson v. Fidelity Brokerage Services LLC and Martin Cunningham Case Number: 04-00834 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Antoinette Gleeson ("Gleeson") hereinafter referred to as "Claimant": Brian J. Neville, Esq., Law Offices of Brian J. Neville, New York, NY.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Louis Rossilli (Claimant) v. Frank Lawrence Vanore and Summit Equities, Inc. (Respondents) Case Number: 04-00830 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant Louis Rossilli ("Claimant"): Richard West, Esq., The SavageWest Law Firm, P.A., Florham Park, NJ. Respondents Frank Lawrence

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sara Drew (Claimant) v. MHA Financial Corporation and George F. Bradlau (Respondents) Case Number: 04-00827 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Sara Drew ("Drew") hereinafter referred to as "Claimant": Kevin G. Diamond, Esq., Goguen, McLaughlin, Richards & Mahaney, LLP, South Natick,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward A. Kaminsky and James Agate (Claimants) vs. Spencer Trask Securities, Inc., a/k/a Spencer Trask Ventures and Spencer Segura (Respondents) Case Number: 00-05628 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Edward A. Kaminsky ("Kaminsky") pro se and James Agate ("Agate"), Arthur G. Jakoby Esq., Herrick, Fienstein LLP, New York, NY. Hereinafter collectiv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Louis Gallotta (Claimant) v. Morgan Stanley DW, Inc. and Carol Glazer (Respondents) Case Number: 04-00824 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Louis Gallotta ("Gallotta") hereinafter referred to as "Claimant": Stuart P. Schlem, Stock Market Recovery Consultants, Inc., Brooklyn, NY. Previ

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00821 UBS Financial Services, Inc., Claimant vs. Christopher DiPenta, Respondent ATTORNEYS: " For Claimant UBS Financial Services, Inc. ("Claimant") appeared Christine Lazaro, Esq., of the firm Davidson & Grannum, LLP, Northvale, NJ. Respondent Christopher DiPenta ("Respondent") did not make an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person. ~ DATE FILED: Febru