Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter Marron (Claimant) v. GKN Securities Corp., Investec Ernst & Company, John Marron, Frank Zappone., and Robert Gladstone (Respondents) Case Number: 03-04546 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimant Peter Marron ("P. Marron") hereinafter referred to as "Claimant": John P. Cione, Esq.,

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Jon ShevelJ (Claimant) vs. Correspondent Services Corp. and Todd Eberhard (Respondents) Case Number: 03-04545 SITUS: New York, New York NATURE OF DISPUTE: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES John Shevell ("Shevell") hereinafter referred to as "Claimant": Morgan W, Bentley, Esq., Newark, NJ. Respondent Correspondent Services Corp. ("CSC"): Howa

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01469 Lloyd R. Thoraer, claimant vs. Quick & Reilly, respondent. ATTORNEYS: Claimant appeared Pro Se, Palmer Lake, CO. Respondent appeared through its in-house counsel, Brian McSherry, New York, NY. DATE FILED: March 23, 2001 CASE SUMMARY: Claimant alleged that respondent made poor fills on the sale of AOL and Priceline stocks thereby causing a loss to his account. Claim Data Aw

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Gail E. Jarand Galante, Individually, and as Executrix of the Estate of Leon Nicholas Jarand, and as Trustee for the Owen Jarand Testamentary Trust, and the Eric Jarand Testamentary Trust (Claimants) v. Edward D. Jones & Co. and Thomas K. Dalton (Respondents) Case Number: 03-04541 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04537 Hector Perez Perez Names of the Respondents Hearing Site: San Juan, Puerto Rico Salomon Smith Barney, Inc. Dario Suarez Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Hector Perez Perez, hereinafter referred to as "Claimant": Juan C. Bigas, Esq., Bigas & Bigas, Ponce, Puerto Rico.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-04536 Charles Gunn Jo Ann Gunn Names of the Respondents Hearing Site: Atlanta, Georgia Robert Morris Glasgow, III Prudential Securities, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Charles Gunn and Jo Ann Gunn, hereinafter collectively referred to as "Claimants": Lange Cla

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04535 Frances Jean Bush Names of the Respondents Hearing Site: Atlanta, Georgia Unified Financial Securities, Inc. Waterstone Financial Group, Inc., formerly known as Long Grove Trading Company Michael Urbik Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Frances Jean

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-04529 Kay Lee Kay Lee IRA Names of the Respondents Hearing Site: Atlanta, Georgia Morgan Stanley DW Inc. Paula Buchanan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATiON OF PARTIES For Kay Lee and Kay Lee IRA, hereinafter referred to as "Claimants": James G. Killough, Esq., Atlanta, Geor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul I. Palant, as Trustee of the Paul I. Palant Revocable Trust, Paul I. Palant IRA, Jared J. Palant and Paul I. Palant, JTTEN, Claimants v. Morgan Stanley DW Inc., A.G. Edwards & Sons, Inc., and Sandra Gage Sempkowski, Respondents Case Number: 03-04528 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lawrence M. Field, Claimant vs. Citigroup Global Markets, Inc. (f/k/a Salomon Smith Barney, Inc.), Paul F. Curtis and Mark T. Curtis, Respondents Case Number: 03-04527 ' Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Perso'ns i REPRESENTATION OF PARTIES For Claimant: Andrew H. Wilson, Esq. Wilson Campilongo LLP