Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert J. Dartez Name of the Respondents Merrill Lynch, Pierce, Fenner & Smith Incorporated Robert Ewing, IV Randy Kirby Case Number: 03-06288 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert J. Dartez hereinafter referred to as "Claimant": S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-05805 George Morgan Marianela Morgan Name of Respondent Hearing Site: Boca Raton, Florida Merrill, Lynch, Pierce, Fenner& Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For George Morgan ("G. Morgan") and Marianela Morgan ("M. Morgan"), hereinafter collectively referred to as "Claimants": Michael S

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name nf Claimants Jamie Tsutsui and Michael Casto and 93-05275 Mama nf "Respondents Castle Securities Corp. Michael T. Studer George R. Hebert QF PARTIES Jamie Tsutsui and Michael Casto ("Claimants") appeared pro se. Castle Securities Corp., Michael T. Studer and George R. Hebert ("Respondents") were represented by Charles M. O'Rourke

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Betty P. Hudson 93-05267 Name of Respondents Oppenheimer & Co., Inc.; John Phillips REPRESENTATION. For Claimant: Betty P. Hudson ("Hudson") was represented by John T. McDowell, Esq. of Bankston & McDowell, located in Houston, Texas. For Respondent: Oppenheimer & Co., Inc. ("Oppenheimer") and John Phillips ("Phillips") were

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Raymond T. Rosati Case # vs. 93-05266 Name of Respondent Guntis Lambergs REPRESENTATION For Claimant, Raymond Rosati ("Claimant"), Bruce S. Bandes, Esq., located in West Sayville, New York. Respondent, Guntis Lambergs ("Respondent") did not appear at the hearing. CASE INFORMATION Statement of Claim was filed on Dece

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant Edward H. Hoglund Case No. 01-02896 Names of Respondents Charles Schwab & Co., Inc. and Janusz Lempicki REPRESENTATION OF PARTIES For Claimant Edward H. Hoglund, hereinafter referred to as "Claimant": Russell C. Silverglate, Esq., Dickenson Murphy Rex and Sloan, 980 North Federal Highway, Suite 410, Boca Raton, Florida 33432. For Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS Stuart Schwartz, as an Individual, Stuart Schwartz, as Trustee/Restated Profit Sharing, Stuart Schwartz C.F./Robin Schwartz, Stuart Schwartz C.F./Rachel Schwartz Stuart Schwartz C.F./Julie Schwartz, and Stuart Schwartz, Conservator/Estate of Rachel Schwartz Claimants, v. No. 93-05264 Kennedy, Cabot & Company, Brock Cooper, and Mark Fink Respondents REPRESENTATION OF PARTIE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Janine Elizabeth Secord vs. 93-05262 Name of Respondents Ronald Franklin Selvaggio LaJolla Capital Corporation REPRESENTATION The Claimant appeared pro se. The Respondent Ronald F. Selvaggio appeared pro se. The Respondent LaJolla Capital Corporation was represented by James C. Weaver, Esq., LaJolla, CA. CASE INFORM

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Janet Folsom and 93-05253 Name of Respondent Premier Planning Associates, Inc. Financial Network Investment Corp. Linda Walker REPRESENTATION OF PARTIES Janet Folsom ("Claimant") was represented by Paul G. Bursiek, Esq., Pendleton & Sabian, P.C., Denver, Colorado. Premier Planning Associates, Inc. ("Respondent Premier

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ben and Jane B. Rosen vs. 93-05245 Name of Respondent Smith Barney Shearson, Inc. REPRESENTATION For Claimants Ben and Jane B. Rosen ("Claimants") appeared Ben Rosen. For Respondent Smith Barney Shearson, Inc. ("Respondent") appeared James Goddard, Esq., Associate General Counsel for Smith Barney Shearson, Inc. CASE INFORM