Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lazaro M. Mora, IRA v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Peter N. Meme, Frank P. Yacobowsky and Larry N. Ovnicek Case Number: 04-00650 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Lazaro M. Mora, IRA hereinafter referred to as "Claimant": James A. Prestiano, Esq., The Law Offices

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00-05599 Apostolic Monastics, Inc., Claimant vs. Solomon Smith Barney, Inc., Respondent. ATTORNEYS: For Claimant appeared Paul Demartini, a.k.a. Father Sergius-Maria, SeCiietary-Econome of Apostolic Monastics,! San Diego, CA. For Respondents appeared Ann Parry, Esq., in-house counsel, New York, NY. DATE FILED: December 19, 2000 CASE SUMMARY: \ Claimant alleged that respondent misre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Linda Perry (Claimant) v. PFS Investments, Inc. (Respondent) Case Number: 04-00646 Hearing Site: Columbus, Ohio Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Linda Perry ("Perry") hereinafter referred to as "Claimant": Charles S. Wuest, Esq., previously Debra B. Hayes, Esq., Woska & Hayes, L.L.P., Kingwood, TX. Respondent PFS Investments, Inc. ("

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Century Industries, Inc. Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 04-00643 Hearing Site: Little Rock, Arkansas Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTTES For Century Industries, Inc., hereinafter referred to as "Claimant": Michael G. Smith, Esq., Dover Dixon Home, PLLC, Little Rock

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00637 Pan American Financial Services, Inc. d/b/a Pan-American Financial Advisers Name of the Respondent Hearing Site: Boca Raton, FL Keith Russell Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Pan American Financial Services, Inc. d/b/a Pan-American Financial Advisers ("PAF"), hereinafter referred t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-00635 Frank B. Wingate Debi S. Wingate Name of the Respondent Hearing Site: Atlanta, Georgia Goldman, Sachs & Co. Customer vs. Member. For Frank B. Wingate and Debi S. Wingate, hereinafter collectively referred to as "Claimants": J. Pat Sadler, Esq., Sadler & Hovdesven, P.C., Atlanta, Georgia. For Goldman, Sachs & Co., hereinafter r

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Matthew Jimenez and Simone Jimenez, individually and as Trustees of Jimenez Revocable Trust U/A/D 12/23/96 and M&S Revocable Trust, U/A/D 12/23/96, Claimants v. Jeffrey S. Hanson, Uwe M. Ruttke, and Merrill Lyrich, Pierce, Fenner & Smith Incorporated, Respondents Case Number: 04-00632 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Assoc

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerry Weber and Ann Weiner, Individually and Trustees for the benefit of the Weiner 1985 Family Trust, and Jerry Weiner, Individually and on behalf of the Jerry Weiner Ira Rollover Account, Claimants v. Wachovia Securities, LLC. as Successor to Everen Securities, Inc. arid First Union Securities, Inc., Elliott Tad Friedman, and Kevin Foster Friedman, Respondents Case Number

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Reuben Robert Beckmann, Claimant v. Morgan Stanley DW Inc., Kevin R. Montoya and John J. Jaber, Respondents Case Number: 04-00629 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Attorney At Law Novato, California For Respondents: Eric G. Wa

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Leon Smith and Names of Respondents Citigroup Global Markets, Inc. and Thomas Pickett Case Number: 04-00624 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Leon/Srnith ("Claimant") was represented by Dennis Taylor, Esq., Shepherd, Smith & EdWardsVLLP, Houston