STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Randal M. Marchetti and 03-09079 Phoenix, Arizona Name of Respondents Signator Investors, Inc. Bennett E. Conklin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Randal M. Marchetti ("Claimant") was represented by Robert D. Mitchell, Esq., Mitchell Law Offices, P.C., Phoenix, Arizona. Sign

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ft nf the. Plgi'mantR rasp.TvJnrnhfir 03-09078 Laura Spragins, Lance Spragins and Neill Spragins Morgan Stanley DW Inc. ng Sitf 1 ' Dallas, Texas gt r. Public Customer v. Member Firm Claimants Laura Spragins, Lance Spragins and Neill Spragins, hereinafter collectively referred to as "Claimants": John Brooks, Esq. of the Law Offices of Brooks & Campbell, LLP, loca

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06599 Donald T. Wesson ERA, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: ~ ~ For Claimant Donald T. Wesson IRA ("Claimant") appeared Douglas H. Glicken, Esq., of the Law Offices of Douglas H. Glicken, P. A., Orlando, FL. For Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Gr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06590 Investacorp, Inc. Names of the Respondents FSC Securities Corporation Anthony Nettuno Christopher Nettuno J. Kenneth Nettuno Name of the Third Party Respondent Scott Henry Sherwood Name of the Counterclaimant Hearing Site: Atlanta, Georgia Nettuno & Associates, Inc. d/b/a Nettworth Nature of the Dispute: Member v

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06587 Horace Butler Loretta Butler Names of the Respondents Hearing Site: New Orleans, LA Prudential Equity Group, Inc. Stanley Broussard Harris Bretall Sullivan & Smith LLC Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Horace Butler and Loretta Butler, hereinafter collectively r

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Lana E. Weeks and Name of Respondent Wachovia Securities, LLC Case Number: 03-06583 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Lana E. Weeks ("Claimant") was represented by Kurt Arbuckle, Esq., Kurt Arbuckle, P.C., Houston, Texas. Wachovia Securities, LLC ("Wachovia") was represented by

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-01704 Raymond James & Associates, Claimant vs. Bruce Herrick, Respondent. ATTORNEYS: For Claimant appeared Christopher G. Lazarini, Esq., of the Law Offices of Tate, Lazarini & Beali, P.C., Memphis, TN. Respondent appeared pro se, Euclid, OH, previously represented by Paul F. Doherty, Esq., of the Law Offices of Morris & Doherty, P.C., Birmingham, MI. DATE FILED: April 5, 2001 CASE S

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Floydella S. Rogers and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Ellias D. Stabinsky Case Number: 03-06582 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION QF PARTIES Floydella S. Rogers ("Claimant") was represented by John Courtade, Esq., Law Offices of J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case Number: 03-06581 Paul D. Fajerski and Michele Fajerski, t/a Fajerski Family Limited Partnership Name of the Respondent Hearing Site: Pittsburgh, PA Leman Brothers, Inc. Nature of the Dispute: Customers vs. Member UF.PRFSFNTATTON OF PAPTTF.S Claimants, Paul D. Fajerski and Michele Fajerski, t/a Fajerski Family Limited Partnership, hereinaft

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, Inc., Claimant v. Thomas Head, Respondent Case Number: 03-06578 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person i REPRESENTATION OF PARITIES For Claimant; Melanie L. Rouen, Esq. Keesal, Young & Logan Long Beach, California For Respondent: Thomas Head In Pro Se ' Palm Desert., California CASE INFORM