Award NASD Dispute Resolution In the Matter of the Arbitration Between: Victor J. Closi and Phyllis A. Closi JT TEN, Victor J. Closi IRA, Phyllis A. Closi IRA, and Victor J. Closi Annuity (Claimants) v. Bernard McGee, Bernard McGee d/b/a McGee Financial Services; McGee Financial Services; Royal Alliance Associates, Inc.; Royal Alliance, a Sunamerica Company; and Sunamerica Trust, Inc. (Respondents) Case Number: 03-04316 Hearing Site: New York, New York

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven and Rose Berman and Steven Herman IRA (Claimants) v. Prudential Equity Group, LLC i7k/a Prudential Securities, Inc. (Respondent) Case Number: 03-04315 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Steven and Rose Berman ("The Bermans") and Steven Berman IRA ("S. Berman IRA") hereinafter collectively refer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Atlantic Coast District, International Longshoremen's Association AFL-CIO (Claimant) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc., Oppenheimer Capital, and William Purdue (Respondents) Case Number: 03-04312 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member, Non-Member, and Associated Person. REPRESENTATION OF PARTIES Claimant Atlant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paragon Capital Markets, Inc. (Claimant) v. Anna York Mills and Peter Y. Mills (Respondents) Case Number: 03-04310 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person and Customer. REPRESENTATION OF PARTIES Claimant Paragon Capital Markets, Inc. ("Paragon") hereinafter referred to as "Claimant": Danny J. Levine, President, Paragon Capital Mark

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles D. Finster, Executor for the Estate of Charles R. Hoenisch, Claimant v. L.H. Ross & Co., Inc., Joseph Ferragamo and Adam Klein, Respondents Case Number: 01-01456 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant Charles R. Hoenisch: Cory B. Chartrand, Esq. Triebsch, Frampton, Dorius & Lima Turlock, California For Respondent

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: J. Kenneth Hickman and Irene Hickman, (Claimants) vs. Gilford Securities, Inc. and Ernest A. Charous, (Respondents) Case Number: 00-00732 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, J. Kenneth Hickman and Irene Hickman, hereinafter collectively referred to as "Claimants": Steven B. Caruso, Esq., Maddox Koeller Hargett & Caruso, New York, NY. Respo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Paul J. Henderson, Case Number:- 03-04309 Claimant, v. Prudential Equity Group, LLC, Hearing Site: Southfield, Michigan Robert Earle Withers, II, David Harold Jacobsmeyer and Wister White Holt, Sr., Respondents. NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES Claimant, Paul J. Henderson ("Henderson"), her

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donna M. Martin, Claimant v. Jason M. Gerber and Merrill Lynch, Pierce Fenner & Smith, Incorporated, Respondents Case Number: 03-04303 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Cabrelle M. Abel, Esq. Preston, Gates, Ellis, LLP Seattle, Washington For Respondents: Em

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Blaine and Kim Thomas, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc.and Ryan Hancock, Respondents Case Number: 03-04302 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES For Claimants: Richard Hearn, Esq Randy Budge, Esq. Racine, Olson, Nye, Budge & Bailey Pocatello, Idaho For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04300 David Heartsfield Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley DW Inc. Danny Michael Murphy Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For David Heartsfield, hereinafter referred to as "Claimant": W. Scott Newbern, m, Esq., Andrews Moye LLC, Tallahasee, Flo