Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Wachovia Securities, LLC ) Case Number: 03-04209 Name of the Respondent John T. Duff Name of theThird-Party Respondents Charles M. Ovis and Guy Patrick Riordan ) Hearing Site: Albuquerque, New Mexico KTIIPF Member Firm vs. Associated Persons Gilbert M. Roman, Esq. of the law firm Rotherberger Johnson & Lyons, LLP, located in Denver, Color

Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margaret Kewn (Claimant) v. Advest, Inc. and Frank Albano (Respondents) Case Number: 03-04203 Hearing Site: New York, New York. Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Margaret Kewn ("Claimant") appeared pro se. Previously represented by Brian M. Limmer, Esq., Bellmore, NY. Respondent Advest, Inc ("Advest"): Mi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margaret Kewn (Claimant) v. Advest, Inc. and Frank Albano (Respondents) Case Number: 03-04203 Hearing Site: New York, New York. Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Margaret Kewn ("Kewn") referred to as ("Claimant"): Appeared pro se; previously represented by Brian M. Limmer, Esq., Bellmore, NY. Respondent Advest, In

Award NASD Dispute Resolution In the Matter of the Arbitration Between: RBC Dain Rauscher, Inc. (Claimant) v. Robert B. Crowe (Respondent) Case Number: 03-04202 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member v. Customer. REPRESENTATION OF PARTIES Claimant RBC Dain Rauscher, Inc. ("RBC") hereinafter collectively referred to as "Claimant": Nicole M. Siemens, Esq., Lindquist & Vennum, P.L.L.P., Minneapolis, MR Respondent Robert B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nicholas and Anne Mastandrea; Nicholas Mastandrea, IRA; and Anne Mastandrea, IRA (Claimants) v. David Lerner Associates, Inc. (Respondent) Case Number: 03-04200 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Nicholas and Anne Mastandrea; Nicholas Mastandrea IRA; and Anne Mastandrea IRA hereinafter collectively ref

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Helen and Elizabeth Gurklies and 03-04198 Kansas City, Missouri Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. Daniel Raymond Agee Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Helen and Elizabeth Gurklies ("Claimants") were represented by Diane A. Nygaard

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph R. Gennett and Joseph R. Gennett IRA (Claimants) v. Joseph Tiderencel, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Prudential Equity Group., LLC f/k/a Prudential Securities, Incorporated (Respondents) Case Number: 03-04197 Hearing Site: Albany, New York Nature of the Dispute: Customers v. Members and Associated Person. REPRESENTATION OF PARTIES Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven Marcano, Urban Intelligence Network, Inc., Carolina Barnes Corporation, Frank E. Barnes, III, William S. Barnes, and Michael L. Marks, (Claimants) vs. Morgan Stanley DW Inc. a/k/a Dean Witter Reynolds, Inc., (Respondent) Case Number: 01-01443 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Steven Marcano ("Marcano"), Urban Intelligence Network, Inc. ("UI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Pase Number; 03-04180 Marston V. Hilton Names nf the Respondents Hearing Site: Raleigh, NC Morgan Stanley DW, Inc. Betsy B. Serafin Robert Edward Fonorow Nature of the Dispute: Customer v. Member and Associated Persons. RFPRFSFNTATTON OF PARTIES Claimant, Marston V. Hilton, hereinafter referred to as "Claimant", was represented by Mathew E. Bates

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald H. Richards IRA, Claimant v. UBS Financial Services Inc. and Angeli Aguila Forster, Respondents Case Number: 03-04176 Hearing Site: San Diego, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialist San Diego, California For Respondents: Robert H. Logan, E