Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW Inc. formerly Dean Witter Reynolds, Inc. (Claimant) v. Steven B. Nothmann (Respondent) Case Number: 04-04451 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Morgan Stanley DW Inc. hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, IL.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marjorie Sartori and Peter Sartori (Claimants) v. Putnam Retail Management, True North Financial Services, Inc. and Henry Joseph Pierpan (Respondents) Case Number: 04-04231 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES Claimants Marjorie Sartori ("M. Sartori") and Peter Sartori ("P. Sartori"

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03020 Helen P. Foster, claimant vs. Raymond James & Associates, Inc. and Robert S. Kurvin, respondents. ATTORNEYS: For Claimant Helen P. Foster ("Claimant"), Charles W. Austin, Jr., Esq., sole practitioner, Richmond, Virginia. For Respondents Raymond James & Associates ("Raymond James") and Robert S. Kurvin ("Kurvin"), James D. Sallah, Esq., Senior Vice Pr

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03432 Susan M. Diamond, Claimant v. Isaac Vidomlanski, Zvi Amit and Menachem Cohen, Respondents. ATTORNEYS: Claimant, Susan M. Diamond, ("Claimant"), appeared pro se, Westbury, NY. Respondent, Isaac Vidomlanski, appeared pro se, Far Rockaway, NY. Respondent, Zvi Amit, did not file a Statement of Answer in this matter. For Respondent, Menachem Cohen, appeared Hal R. Ginsburg, Esq., of the

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: .' Name nf thft Claimant r.asft Niirnhftr 04-03131 Dorothea D. Davis, as guardian for Adeline F. Davis Names of the Respondents Hearing Site- Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Geoffrey A. Thomas Nature of the Dispute: Customer v. Member and Associated Person. PF.PPF.SF.NTATTON OF PAPTTF.S Claimant, Dorothea D. Davis, as guardian for

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Neil and Victoria Megson, Claimants v. Kelly Gunderson and Salomon Smith Barney Inc. n/k/a Citigroup Global Markets Inc., Respondents Case Number: 04-02795 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants Neil and Victoria Megson: Bernard W. McNallen, Esq. Balsam McNallen LLP Tacoma, Wa

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant RBC Dain Rauscher, Inc. and Case Number: 04-02761 Hearing Site: Chicago, Illinois Respondent Joseph Johnson NATURE OF DISPUTE Member v. Association Person REPRESENTATION OF PARTIES RBC Dain Rauscher, Inc., ("Claimant"), or ("RBC Dain") was represented by Nicole Siemens, Esq., and Jonathan M. Harris, Esq., of Lindquist & Vennum L.L.P., located in Minne

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Field Family LLC, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Respondent Case Number: 04-02682 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Christopher B. Wells, Esq. Lane Powell Spears Lubersky, LLP Seattle, Washington For Respondent: Curt Roy Hineline, Esq. Hassan Ab

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Leroy and Diane Jacobsen and Case Number: 04-02227 Hearing Site: Milwaukee, Wisconsin Name of Respondent Craig A. Rosenberg NATURE OF DISPUTE Customer v. Associated person. REPRESENTATION OF PARTIES Leroy and Diane Jacobsen or ("Claimants") were represented by Sean Lanphier, Esq., of Mallery & Zimmerman, S.C., located in Milwaukee Wisconsin.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04881 Ann Dobrutsky, Claimant v. Citigroup Global Markets, Inc. i7k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant, Ann Dobrutsky, ("Claimant"), appeared James Richard Hooper, Esq., of the firm Hooper & Weiss, L.L.C., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("Respondents"), a