Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Glenn T. Klupsak, individually and on behalf of his IRA, Claimant v. Peter W. Maloney, Keith M. Shepherd, Jack B. Grubman, Salomon Smith Barney, Inc. n.k.a. Citigroup Global Markets, Inc., Olivier Khalil, and Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondents Case Number: 01-05564 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Members and

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Allan A. Adrian, Claimant v. Prateek Amar, Margaret Black, and Morgan Stanley DW Inc., Respondents Case Number: 01-03346 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Paul W. Thomas, Esq. Law Offices of Paul W. Thomas & Associates Carlsbad, California For Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Maria Cicchino, (Claimant) vs. J. P. Turner & Company, LLC, Lenard Simon, and Rocko Guidicipietro, (Respondents) Case Number: 01-03212 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Maria Cicchino ("Claimant"): Benjamin B. Choi, Esq., Reed Smith, LLP, Newark, NJ. Respondent, J. P. Turner & Company, LLC ("Turner"), and Rocko G. Guidicipietro ("Guidicipie

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Karen R. Carney, (Claimant) vs. Prudential Securities Incorporated and John Cochran, (Respondents) Case Number: 01-02906 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimant, Karen R. Carney, hereinafter referred to as "Claimant": Matthew Yackshaw, Esq., Day, Ketterer, Raley, Wright & Rybolt, Ltd., Canton, GH. Respondents, Prudential Securities Incorporated ("PS

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02668 Ethan and Beth A. Schaff, JTWROS, claimants vs. Datek Online Brokerage Services Corp., respondent. ATTORNEYS: Claimants Ethan and Beth A. Schaff, JTWROS ("Claimants") appeared Pro Se, Sharon, MA. For Respondent Datek Online Brokerage Services Corp. ("Respondent") appeared G. Thomas Fleming, III, Esq. of the firm Jones, Bell, Abbott, Fleming & Fitzpatrick

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant flase Number: 00-01032 David H. Leslie-Hughes, Esq. Name nf the Respondent Hearing Site* Philadelphia, PA American Express Financial Advisors, Inc. Nature of the Dispute: Associated Person v. Member. TjflPRESFNTATTON OF PARTTFS Claimant, David H. Leslie-Hughes, Esq., was represented by J. Matthew Wolfe, Esq., Office of Alice W. Ballard, P.C., Philadelphi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of the Claimant Case Number: 01-02712 Martha Pugode Acosta Names of the Respondents Hearing Site: Boca Raton, FL CIBC World Markets Corp. Ivan Oscar Alfaro Juana Caicedo-Selinger REPRESENTATION OF PARTIES For Martha Pugode Acosta, hereinafter referred to as "Claimant": C. Thomas Schmidt, Esq., Schmidt & Hoffer, LLP, Houston, TX. For CIBC World Markets Corp.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia Solberg, Claimant v. Morley Securities, Inc., Bryan E. Gill, III, Wedbush Morgan Securities, Inc., Respondents Case Number: 01-02669 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Robert S. Fink, Esq. Law Offices of Robert S. Fink Los Angeles, California For Respondents: Jerry S. Phillips, Esq. Richman, Mann, Chizever, Phillips

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Raphael Elias Case No. 01-02085 Names of Respondents William Lozano SouthTrust Securities, Inc. Maree Moscati Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES Claimant Raphael Elias ("Elias") appeared pro se. For SouthTrust Securities, Inc.("SouthTrust"), William Lozano ("Lozano") and Maree Moscati ("Moscati"), hereinafter col

Award NASD In the Matter of the Arbitration Between: The CMS Group, L.L.C., Claimant v. Herbert J. Sims & Co., Inc., Stanley Crouch, Leslie Goodman, Larry Wolfe, and Gary Press, Respondents Stanley Crouch, Leslie Goodman, Larry Wolfe, and Gary Press, Counterclaimants v. The GMS Group, L.L.C., Respondent Case Number: 00-05205 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For The GMS Group, L.L.C., hereinafter referred to as "Claimant"