AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Jack Eldridge and Gladys J. Eldridge, co-trustees of the Eldridge Family Living Trust and Case Number: 03-06385 Hearing Site: Oklahoma City, Oklahoma Names of Respondents Prudential Equity Group, LLC, f/k/a Prudential Securities, Inc., and Michael Conrad Ihrie NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06375 Estate of Vernon A. Davis Vernon Albert Davis Revocable Living Trust Names of the Respondents Hearing Site: Orlando, Florida Prudential Securities Incorporated n/k/a Prudential Equity Group, LLC Andrew M. Romer Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Estate of Vernon

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Max Marcus, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Quinton H. Ellis, Jr., and Martin A. Mayer, Jr., Respondents Case Number: 03-06373 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Robert Scott Dreher, Esq. Dreher Law Firm San Diego, California For R

NASD DISPUTE R^OLUTION AWARD JSFASP DISPUTE ffiSOLUnQN CASE: 03-06570 Edward and < 3»l Hewitt OTT, dauaants v. Lincoln Financial Advisor* Corporation and Gary P. SaJva, Respondents. ATTORNEYS: Claimants, Edward and Gail Hewitt INT, ("Claimants"), appeared pro se, RockfaH, CT. Respondents, collectively koown as For Respondent, Lincoln Financial Advisors Corporation, CUneoln"), appeared Heather V. Taylor, of McCarter & English, UUP, Newark, NL For

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06367 Priscilla S. Rudomanski (Acct 25519) and Priscilla S. Rudomanski (Acct 35722), Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Priscilla S. Rudomanski (Acct 25519) and Priscilla S. Rudomanski (Acct 35722), ("Claimant"), appeared Win. Jemison Minis, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner, & Proctor, P.A., Pensacola

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01676 UBS/Paine Webber Incorporated, claimant vs. Daren Elliot, respondent. ATTORNEYS: For Claimant appeared Lisa A. Catalano, Esq., in-house counsel, Park Ridge, NJ. Respondent did not respond to the Statement of Claim. DATE FILED: April 4, 2001 CASE SUMMARY: Claimant alleged that respondent failed to pay a debit balance in his account after he failed to meet a margin call and his

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norman Rosenstock, IRA, Claimant v. Kenneth W. Brown, K.W. Brown Investments, and 21 st Century Advisors, Inc., Respondents Case Number: 03-06364 REPRESENTATION OF PARTIES Claimant, Norman Rosenstock, IRA, ("Claimant"), appeared pro se, Royal Palm Beach, FL. For Respondents, K.W. Brown Investments and Kenneth William Brown appeared Russell L. Forkey, Esq. of Russe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steve Kay (Claimant) v. Butler Wick & Co., Inc. (Respondent) Case Number: 03-06363 Hearing Site: Cleveland, Ohio Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Steve Kay ('"Kay") hereinafter referred to as "Claimant": James A. DeRoche, Esq., Garson & Associates Co., L.P.A., Cleveland, OH. Respondent Butler Wick & Co., Inc. ("Butler") herei

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rita A. Spiritelli (Claimant) v. CIBC World Markets Corp. and Bruce M. Tanis (Respondents) Case Number: 03-06361 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Rita A. Spiritelli ("Spiritelli") hereinafter referred to as "Claimant" appeared pro se. Respondents CIBC World Markets Corp. ("CIBC") and B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Martin J. and Maria C. Duel! (Claimants) v. Thomas Morgan Sime and Advest, Inc. (Respondents) Case Number: 03-06360 Hearing Site: Buffalo, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Martin J. and Maria C. Duell hereinafter referred to as "Claimants": Gerald W. Dibble, Esq., Dibble & Miller, PC., Rochester, NY.