Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Howard Comart, Loretta Comart, David Liebowitz, Scott L. Fleischer Trust U/A DTD, Paige A. Liebowitz Trust U/A DTD, Andrew R. Liebowitz Trust U/A DTD, Stephanie Fleischer Trust U/A DTD (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Inc., Michael Rosenthal, Stanley Rosenthal, and Lee Ann Quenault (Respondents) Case Number: 05-00203 Hearing Site: New York, New York Na

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06404 Donna Blanchard Names of the Respondents Hearing Site: Baltimore, MD Legacy Financial Services, Inc. Joseph R. Karsner, IV Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Donna Blanchard, hereinafter referred to as "Claimant", was represented by William B. Young, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frederick Jay Arnold, Jr. (Claimant) vs. Regional Brokers, Inc., Patrick C. Lubin, and Joseph A. Hemphill, III (Respondents) Case Number: 05-05945 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Frederick Jay Arnold, Jr. hereinafter referred to as "Claimant" appeared pro- se.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-02378 Westor Online, Inc., claimant vs. Roland J. Colavito, respondent. ATTORNEYS: For Claimant appeared John J. Meglio, Esq., Flushing, NY. Respondent appeared pro se, New York, NY. DATE FILED: May 8, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay monies loaned to him. Claimant maintained that respondent worked one day only and never returned. He cashed the

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jason C. Lime and Kimberly E. Lime (Claimants) vs. Citigroup Global Markets f/k/a Salomon Smith Barney (Respondent) Case Number: 04-05603 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Jason C. Lime ("J. Lime") and Kimberly E. Lime ("K. Lime"), hereinafter collectively referred to as "Claimants": Robert S. Moraff

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Alejandro Sucre Names of Respondents Credit Suisse First Boston LLC Fernando Lamas Case Number: 04-01463 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Alejandro Sucre, hereinafter referred to as "Claimant": Eduardo A. Exposito, Esq., Lyons, Lurvey &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lynn E. Welch (Claimant) vs. Wachovia Securities, Inc. f/k/a First Union Securities, Robert Suchocki, and John Pascarella (Respondents) Case Number: 04-01116 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Lynn E. Welch hereinafter referred to as "Claimant": Ambrose>M. Richardson, Esq

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anthony S. Porco (Claimant) vs. Taylor Stuart Financial, Inc. and Irving Minnaker (Respondents) Case Number: 02-01893 Hearing Site: New York. New York Nature of the Dispute: Customer v. Member and Assocaited Person. REPRESENTATION OF PARTIES Claimant Anthony S. Porco hereinafter referred to as "Claimant": Michele A. Pincus, Esq., Lazer, Aptheker, Rosella & Yedid, P.C.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Conti (Claimant) v. Lehman Brothers, Inc. (Respondent) Case Number: 01-03630 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Michael Conti, hereinafter referred to as "Claimant" appeared pro se. Previously represented by Heather V. Baer, Esq., Sally & Fitch, Boston, MA. Respondent Lehman Brothers

NASD DISPUTE RESOLUTION STIPULATED AWARD NASD DISPUTE RESOLUTION CASE: 054)5821 Bane of America Investment Services, Inc., Alan R. Rosenberg, Patrick M. Dowden and Frederick R. Warren, (Claimants) vs. Martin and Stephanie Reingold, (Respondents) ATTORNEYS: For Claimants appeared William E. Goydan, Esq., of the firm Wolff & Samson PC, West Orange, NJ. Respondents appeared pro se, Oceanside, NY, NATURE OF DISPUTE: Member and Associated Persons v. Cust