AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William Krauter and 03-03643 Phoenix, Arizona Name of Respondents Piper Jaffray & Co. n/k/a U. S. Bancorp Piper Jaffray, Inc. NicoR. Willis Michael L. Cameron Nature of the Dispute: Associated Person vs. Member; Associated Persons. REPRESENTATION OF PARTIES William Krauter ("Claimant") was represented by Richard Parrish, Esq., Parrish & Berry, Tuc

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Sara L. Coutscoudis, Trustee of the Sara L. Coutscoudis Trust UAD 06/13/89 and Names of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and John Schindler Case Number: 03-03642 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Sara L.

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nancy Pietrangelo, IRA, Claimant v. Pasquale Scaramuzzini, Jr. and Prudential Securities, Inc., Respondents Case Number: 03-03629 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: David Liebrader, Esq. Law Offices of David Liebrader, APC Las Vegas, Nevada For Respondents: Ch

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nancy Pietrangelo, IRA, Claimant v. Pasquale Scaramuzzini, Jr. and Prudential Securities, Inc., Respondents Case Number: 03-03629 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: David Liebrader, Esq. Law Offices of David Liebrader, APC Las Vegas, Nevada For Respondents: Christophe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Isaac and Shirley Raitport (Claimants) v. Salomon Smith Barney, Inc., and CIBC World Markets Corp., (Respondents) Case Number: 03-03625 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members REPRESENTATION OF PARTIES Claimants Isaac Raitport ("I. Raitport") and Shirley Raitport ("S. Raitport"), hereinafter collectively referred to as "Claimants": Timothy J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thalia Karakitsios IRA (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 03-03624 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant Thalia Karakitsios IRA ("Karakitsios") hereinafter referred to as "Claimant": Wm. Jemison Mims, Esq. and B. Kristian W. Rasmussen, Esq., Levin Papantonio,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael D. Rose (Claimant) v. Credit Suisse First Boston Corporation (Respondent) Case Number: 03-03615 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Michael D. Rose ("Rose") hereinafter referred to as "Claimant": Douglas E. Szulman, Esq., Law Office of Douglas E. Szulman, P.C., New York, NY. Respondent C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: THOMAS S. CROW, DORIS B. CROW, THE DORIS B. CROW REVOCABLE TRUST, THE THOMAS S. CROW REVOCABLE TRUST, AND THE CROW 1999 IRREVOCABLE TRUST, (Claimants) vs. MERRILL LYNCH PIERCE, FENNER & SMITH INCORPORATED AND PAUL A. LINDSEY, (Respondents). Case Number: 03-03612 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESEN

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE-.01-01327 Ameritrade, Inc., claimant vs. Magdy Ezzat, respondent. ATTORNEYS: For Claimant appeared James J. Vihstadt, in-house counsel, Bellevue, NE. Respondent did not submit a response to the Statement of Claim. DATE FILED: March 16, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the debit balance in his margin account. Claim Data Award Data Claim: $5,970

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Monica Triozzi (Claimant) v. Heights Partners, Inc., Richard Polatchek, Lawrence Polatchek, and James Pappas (Respondents) Case Number: 03-03609 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Monica Triozzi ("Triozzi") hereinafter referred to as "Claimant": Martin I. Kaminsky, Esq., P