Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Ettinger, Sr. 3 Joan Ettinger, and Richard Ettinger, Sr. IRA (Claimants) v. Advest, Inc., Stephen Pulvirent, and James Pucci d/b/a The Pucci Group (Respondents) Case Number: 03-02131 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Richard Ettinger, Sr. ("R. Ettinger"), Joan Ettin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lawrence E. Palme, Claimant v. Fortress Financial Group, LLC, Respondent Case Number: 03-02128 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Sandra L. Malek, Esq. Malek & Malek Torrance, California For Respondent: Gregory D. Walker Chief Executive Officer Fortress Financial Group Isle of Palms, South Carolina CASE INFORMATION S

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02121 Theodore L. Lewis, Claimant vs. Michael J. Freiman and Legg Mason Wood Walker, Inc., Respondents. ATTORNEYS: Claimant appeared pro se, Germantown, MD. Respondents, Michael J. Freiman and Legg Mason Wood Walker, Inc., appeared in-house counsel, Jason W. Gardner, Esq., Baltimore, MD. DATE FILED: March 24, 2003 CASE SUMMARY: Claimant alleged that Respondents omitted and misreprese

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary Hastings (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith Inc. and William McLaughlin, (Respondents) Case Number: 03-02118 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Mary Hastings ("Hastings") hereinafter referred to as "Claimant": Gerry Feinberg, Esq., 11 Maritine Avenue

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Newton J. Kellackey (Claimant) v. Halliburton & Associates, Inc., Penson Financial Services, Inc., and David J. Halliburton (Respondents) Case Number: 03-02117 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Newton J. Kellackey ("Kellackey") hereinafter referred to as "Claimant": James A. DeRoche

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thp Claimant Case Number: 03-02114 A.G. Edwards & Sons, Inc. Name of the Respondents Hearing Site: St. Louis, Missouri Kendra A. Cordes OF Member Firm vs. Associated Person Matthew Salamon, Esq. of A.G. Edwards & Sons, Inc. located in St. Louis, Missouri represented Claimant, A.G. Edwards & Sons, Inc. ("A.G. Edwards") hereinafter referred to as "Claimant." Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-02110 Richard E. Mclnnes, in his individual capacity, and in his capacity as trustee, and Robin A. Mclnnes, in her individual capacity, and in her capacity as trustee Name of the Respondent Hearing Site: Chicago, Illinois Merrill Lynch Pierce Fenner & Smith, Inc. NATURE OF THE CONTROVERSY Customers v. Member Firm REPRESENTATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between / Name of Claimants Joseph Paul Smith and Lorraine Durnane 96-01344 Name of Respondent Cruttenden Roth Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 27, 1996, Claimants Joseph Paul Smith and Lorraine Durnane ("Claimants"), who appeared Pro Se, alleged that Respondent Cruttenden Roth, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John P. Arciero 96-01343 Name of Respondents Sterling Foster & Company, Inc. Claudia Silver Anthony Muratore Bear Stearns Securities Corp. REPRESENTATION For Claimant: Stephen Murphy, Esq. of Pino & Dicks, Longwood, FL. For Respondents: Leslie K. Case, Esq. of Gersten, Savage, Kaplowitz, Fredericks & Curtin, LLP, Ne

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Gary Bogner and 01-01193 Troy, Michigan Gruntal & Co., L.L.C., and Thomas W. Fox REPRESENTATION OF PARTIES Gary Bogner ("Claimant") was represented by Andrew Stoltman, Esq., and Thomas A. Hargett, Esq., Maddox, Koeller Hargett & Caruso, Chicago, Illinois, and Indianapolis, Indiana. Gruntal & Co., L.L.C ("Gruntal") and Thomas W. Fox ("Fox"), hereinafter referred to as