AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Richard Seidenstricker and 01-01728 Minneapolis, Minnesota Name of Respondents Tasin & Company, Inc. Robert Francis Tassinari Chanse Keith Menendez, Sr. REPRESENTATION OF PARTIES Richard Seidenstricker ("Claimant") was represented by Terrence J. Fleming, Esq., and William F. Stute, Esq., Lindquist & Vennum, P.L.L.P., Minneapolis, Minnesota.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas Kierce and Nancy Kierce (Claimants) v. ING America Equities, Inc., ReliaStar-ING, and Joseph C. Connolly (Respondents) Case Number: 04-00078 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member, Associated Person, and Non-Member REPRESENTATION OF PARTIES Claimants Thomas Kierce ("T. Kierce") and Nancy Kierce ("N. Kierce"), hereinafter collectively

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case Number 04-00073 Irving Jacobs Estelle Jacobs Names nf the Respondents Hearing Site: Washington, D.C. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Ronald Charles Senegal Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTTFS Claimants, Irving Jacobs and Estelle Jacobs, hereinafter col

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Cordial Family Limited Partnership ragf* Number- 04-00070 Names nf the Respondents Janney Montgomery Scott LLC Lance McCoy Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. RFPRF.SF.NTATTON OF PARTIES Claimant, Cordial Family Limited Partnership, hereinafter referred to as "Claimant", was

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Case Number: 04-00067 Bradford King Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley Dean Witter Ryan Hogan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Bradford King, hereinafter referred to as "Claimant": Christopher E. Kentra, Esq., Meckler Bulger & Tilson, Chic

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00065 Cheryl Ivey, individually and on behatf of her IRA Name of the Respondent Hearing Site: Chicago, IL Citigroup Global Markets, Inc., and Michael K. Rhodes NATURE OF THE DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Robert A. Chapman, Esq., with Law Offices located in Chicago, Illinois represented

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Andrea Bell, individually and as Personal Representative of the Estate of Alfred Bell Names of the Respondents Merrill Lynch, Pierce, Fenner and Smith, Inc. John Haas Citigroup Global Markets, Inc. f7k/a Salmon Smith Barney, Inc. Case Number: 04-00060 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Members a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Harry Francois Names of the Respondents Marion Bass Michael Costello Case Number: 04-00056 Hearing Site: Atlanta, Georgia Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES Harry Francois, hereinafter referred to as "Claimant", appeared pro se. Respondent Marion Bass, hereinafter referred to as "Bass", d

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Conine C. Galbraith, Claimant v. Kim D. Isaacson, U.S. Bancorp Piper Jaffray n/k/a Piper Jaffray & Co. and RBC Dain Rauscher, Inc., Respondents Case Number: 04-00055 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: Wallace T. Boyack, Esq. Boyack Ashton LC Salt Lake City, Uta

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David C. Waterman and Deirdre A. Waterman (Claimants) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. (Respondent) Case Number: 04-00049 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants David C. Waterman ("David Waterman") and Deirdre A. Waterman ("Deirdre Waterman") hereinafter collectively re