N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John Denes 93-05224 Name of Respondents Dean Witter Reynolds, Inc.; James F. Mooney REPRESENTATION For Claimant: John Denes ("Denes") was represented by James Schuster, Esq. of Southfield, Michigan. For Respondents: Dean Witter Reynolds, Inc. ("Dean Witter") and James F. Mooney ("Mooney") were represented by Mark R. Wer

NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of CJaimaqt Allen E.Ross v. Name of Respondent Prudential Securities, Inc. NASD Arbitration No. 94-01967 REPRESENTATION For Claimant: For Respondent: Christopher Olmstead, Esq. Lovretovich & Karen Woodland Hills, CA Martin Hunger Prudential Securities, Inc. New York, New York CASE INFORMATION Statement of Claim fi

N.A.S.D. AWARD * •NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert B. Block 93-05222 Name of Respondents A.S. Goldmen & Co. Scott Belton REPRESENTATION Claimant Robert B. Block, Esq. ("Claimant") of New York City, New York appeared pro se. For Respondents A.S. Goldmen & Co. ("Goldmen") and Scott Belton ("Belton") appeared Carole R. Bernstein, Esq. of Bachner, Tally, Plevoy an

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name nf Claimant Adeline D. Grossman 93-05217 Dickinson & Company Warren H. Hamm mr.PRP.SF.NTATTON OF PARTTFS Adeline D, Grossman ("Claimant") was represented by John S. Lutz, Esq. and Otto K. Hilbert, n, Esq., LeBoeuf, Lamb, Leiby & MacRae, Denver, Colorado. Dickinson & Company and Warren H. Hamm ("Respondents") were represented by David A.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gerald and Louise Gentile 93-05213 NameofRgsjxHidenlg R.B Webster Investments, Inc. Warren S. Green REPRESENTATION Claimants Gerald and Louise Gentile ("Claimants") appeared pro se. Respondent R.B. Webster Investments, Inc. ("R. B. Webster") did not enter an appearance in this matter. Respondent Warren S. Green ("Green

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Theodore Roy Rice NASD Arbitration No. 93-05212 v. Name or Respondent Prudential Securities, Inc. REPRESENTATION For Claimant: Steven M. Green, Esq., San Diego, California For Respondent: Terry A. Ross, Esq., Keesal, Young & Logan, Long Beach, California CASE INFORMATION Statement of Claim filed: December

NASD Arbitration No. 93-05210 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant (s) Robert Icho Name of Resondent Scottsdale Securities, Inc Arthur Quint ero REPRESENTATION For Claimant: Robert Icho, Foster City, California For Respondent Scottsdale Securities, Inc.: Mark Finnegan, Scottsdale Securities, Inc., St. Louis, Missouri For Respondent Arthur Quinter

AMENDED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant The Joseph Kenith Revocable Trust Dated 1/14/99, Joseph Kenith Trustee, and Joseph M. Kenith Case Number: 01-02849 Names of the Respondents Morgan Stanley Dean Witter and Andrew Kronitz Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For The Joseph Kenith Revocable Trust Dated 1/14/99, Joseph Kenith Trustee, and Joseph M.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christina Kozlowski (Claimant) vs. NY Life Securities, Inc., New York Life Insurance Company, New York Life Insurance & Annuity Corp., New York Life Insurance Company of Arizona, Frank J. Scarpa, and Anthony Krizman (Respondents) Case Number: 05-0685 Hearing Site: Buffalo, New York Nature of the Dispute: Associated Person vs. Member, Non-Members and Associated Persons. REPRESENT

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02635 Karon Anthony Killday, (Claimant) vs. T. Rowe Price Investment Services, Inc. and T. Rowe Price Advisory Services, inc., (Respondents) ATTORNEYS: Claimant appeared pro se, Colorado Springs, CO. For Respondent appeared in-house counsel Edwin P. Aro, Esq., Denver, CO. NATURE OF DISPUTE: Associated Person vs. Member and Non-Member DATE FILED: May 14, 2005 CASE SUMMARY: Claimant al