Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rose R. Fine and Ellen F. Litt, JT TEN (Claimants) v. Prudential Equity Group, LLC f7k/a Prudential Securities, Inc. and Arlene Andersen (Respondents) Case Number: 03-04141 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Rose R. Fine and Ellen F. Litt, JT TEN ("R. Fine and E. Litt") hereinafter

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Juanita Heath-Arms f/k/a Juanita Heath Names of the Respondents Acument Securities, Inc. f/k/a Thomas White & Co., Inc. First Discount Brokerage, Inc. Robert Thompson Angle William E. Stenlund Case Number: 03-04133 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thp Claimant Rafael J. Garofalo, individually and on behalf of Rafael J. Garofalo, IRA R nf the Respondents Morgan Stanley DW Inc. Kirit R. Doshi Edward Jones & Co. Roger Barry Goodwin r- 03-04130 Hearing Site- Charlotte, North Carolina Nature of the Dispute: Customer vs. Members and Associated Persons. OF PAKTTRS Claimant, Rafael J. Garofalo, ind

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Joseph Dodds and Bobbie Jean Dodds v. 03-04126 Denver, Colorado Respondent / Third-Party Claimant RBC Dam Rauscher, Inc. v. Third-Party Respondent A.G. Edwards & Sons, Inc. Nature of Dispute: Customers v. Member and Member v. Member REPRESENTATION OF PARTIES Joseph Dodds and Bobbie Jean Dodds ("Claimants") appeared pro se. RBC Dain Rauscher, Inc.

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Mary R. Francis and MLPF&S GUST FPO Mary R. Francis IRA, FBO Mary R. Francis v. 03-04124 Denver, Colorado Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and James F. Weaver, Jr. Nature of Dispute: Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Mary R. Francis and MLPF&S CUST FPO, Mary R. Francis IRA, FBO Ma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thft Plavmant Barry Woloshin Names nf the "Respondents Prudential Equity Group, LLC Scott Wallach asp Number 03-04119 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer v. Member and Associated Person. KFPRKSFNTATIDN OF PARTIES Claimant, Barry Woloshin, hereinafter referred to as "Claimant", was represented by Jonathan Fisher, Esq.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Kamal Abdelmalek (Claimant) vs. H&R Block Financial Advisors, Inc. and Donate Cilenti (Respondents) Case Number: 03-04107 Hearing Site: New York. New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Kamal Abdelmalek ("Abdelmalek"), hereinafter referred to as "Claimant," George L. Mahr HE, Esq., Mahr & Mahr, LLC,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04101 Ann S. Douglas TTEE for Galen M. Douglas Educationalist and Ann S. Douglas TTEE for Jake C. Douglas Educational Trust, Claimant v. Richard Shrader and Mike Nielsen, Respondents. ATTORNEYS: Claimant, Ann S. Douglas TTEE for Galen M. Douglas Educational Trust and Ann S. Douglas TTEE for Jake C. Douglas Educational Trust, ("Claimant"), appeared pro se, Bainbridge Island, WA. Respo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Janell Mosgofian, Claimant v. Citigroup Global Markets, Inc., also known as Salomon Smith Barney, Inc., Alexander G. Wesman, John B. Moran, Jack B. Grubman, Michael A. Carpenter, Kevin J. McCaffrey and Eduardo G. Mestre, Respondents Case Number: 03-04097 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATIO

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant i Lawanda Parker v. Case Number: 01-01439 Hearing Site: Troy, Michigan Names of Respondents Leonard & Company, Lawrence J. Bullock , American Skandia Marketing, Inc., Kristin E. Jaekle and Suzanne Hurel ' ' ' l ' ' and . il . :' I Name of Cross-Claimant American Skandia Marketing, Inc. v. Name of Cross-R