Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anne Rothberg Revocable Trust, (Claimant) vs. TD Waterhouse Investor Services, Inc., (Respondent) Case Number: 01-02367 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Anne Rothberg Revocable Trust, hereinafter referred to as "Claimant": Timothy E. Leonard, Trustee, Groton, MA. Respondent, TD Waterhouse Investor Services, Inc., hereinafter referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00266 Lorraine A. Greenhill Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc., f7k/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lorraine A. Greenhill, hereinafter referred to as "Claimant": William Young,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Baird, Patrick & Co., Inc. (Claimant) v. Maxcor Financial, Inc., P. Randolph Hill, Brian Lutz, John Drummond, and Peter Vance (Respondents) Case Number: 03-07325 Hearing Site: New York City, New York Nature of the Dispute: Member v. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Baird, Patrick & Co., Inc. ("Baird") hereinafter referred to as "Claimant": Lawrence S.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tradition Asiel Securities, Inc. (Claimant) vs. Gary A. Dorfman and Gary Dorfinan & Co., Inc. (Respondents) Case Number: 03-00423 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person and Non-Member REPRESENTATION OF PARTIES Claimant Tradition Asiel Securities, Inc. hereinafter referred to as "Claimant": Chaim A. Levin, Esq., Tradition Asiel Securi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Strathconnen Investments Pty Ltd., Claimant v. Ehrenkrantz King Nussbaum, Inc., Weatheriy Securities Corporation, Carl G. Antaki, Thomas Giugliano, and Anthony Ottimo, Respondents Case Number: 03-04525 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Members and Associated Persons REPRESENTATION OF PARTIES For Claimant Strathconnen Investments Pty

Revised Award NASD Dispute Resolution In the Matter of the Arbitration Between: r.laimants Case Number 02-06802 Commonwealth Holdings, Inc. Profit Sharing Plan & Trust, James T. Waddill, IV, Jocelyn Investors, Jeffrey Jorgensen, Kenneth Jorgensen, Eric Jorgensen, Lloyd Bernstein, Howard Borenstein, Clifford Schaefer, Mel Stewart, Angelo Armenta, Lucille Weber, individually and f/b/o Lucille Weber, IRA, Rosario Bartolotta, individually and f/b/o

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Louis Nolan Miller and Case Number: 02-02830 Hearing Site: Houston, Texas Name of Respondent Tim Satre NATURE OF DISPUTE Associated Person v. Associated Person REPRESENTATION OF PARTIES Louis Nolan Miller ("Claimant") was represented by Bruce Gregory, Esq., and Harry Wright, Esq., The Law Office of Bruce Gregory, P.C., Port Neches, Texas. Tim

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wesley Lund, Lilly Lund, Gordon A. Mowat, Paul W. Muma, Clarence Roe, Jr., Elsie M. Roe, Edwin Ness, Judith Ness, Arnold Ness, and Roberta Bryan, Claimants v. RBC Dain Rauscber, Inc., Wayne A. Josephson, Nelson D. Civello, and Linda Lee Henderson, Respondents Case Number: 00-03800 Hearing She: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Perso

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-02366 Richard Joseph McDermott Names of the Respondents Hearing Site: Tampa, FL Matthew B. Meister Kashner Davidson Securities Corporation Doyle Scott Elliott REPRESENTATION OF PARTIES For Richard Joseph McDermott, hereinafter referred to as "Claimant": Constantino W. Papas, Esq., Gray Harris Robinson Shackleford Farrior, Tampa, FL. For Respondents

N.A.S.D. AWAKD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant J. Edmund & Co. and Name of Respondents VTR Capital. Inc. Regis D. Dahl Name Qf ClflillHnff VTR Capital, Inc. Regis D. Dahl and Name of Respondents J. Edmund & Co. Jelco, Inc. and John E. Ligums 93-OOOIV' (Consolidated with 93-00105) 93-00105 OF PARTTTTj; J. Edmund & Co., Jelco. Inc., a