Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: I Name of the Claimant Charles M. Howell Names of the Respondents American General Securities, Inc. LeroyJack Smith Case Number: 04-08451 Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Charles M. Howell, hereinafter referred to as "Claimant": Lee Bowie, Esq., Davidson, B

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: ' Vernal Miller, as Trustee of the Miller Family Trust, • . ' Claimant, vs . Case Number: 04-08446 Essex & York, Inc.; Delta Asset Management; Robert J. Shoblock; and, Blake Justin Shanaphy, Respondents SITUS: Wichita, Kansas NATURE OF DISPUTE: Public Customer vs. Member Firm, Terminated Member Firm, Associated Persons. REPRESENTATION OF PARTIES: Vernal Mille

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-08441 Capital Growth Financial, LLC Names of the Respondents Hearine Site: Boca Raton, Florida Independent Securities Investor Corporation Stephen Desiderio Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATION OF PARTIES For Capital Growth Financial, LLC ("CGF"), hereinafter referred to as "Claimant": Delmer C.

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Bhupendra Patel, Claimant vs. Gregory Mumtaz Hasho, Respondent Case Number: 04-08439 SITUS: Charlotte, North Carolina NATURE OF DISPUTE: Customer v. Associated Person REPRESENTATION OF PARTIES: Bhupendra Patel, hereinafter referred to as "Claimant": Darryll Walter Bolduc, Esq., The Bolduc Law Firm, PLLC, Charlotte, North Carolina. Respondent did not enter an appearance in th

Award NASD Dispute Resolution In the Matter of the Arbitration Between: JP Morgan Securities, Inc. (Claimant) v. Charles B. Rowley III (Respondent) Case Number: 04-08434 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant JP Morgan Securities, Inc. ("JP Morgan") hereinafter referred to as "Claimant": Michael H. Theodore Esq., Cohn & Dussi, LLC, Burlington, MA. Respondent Charles B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number: 04-08428 Wachovia Securities, LLC Name of the Respondent Hearing Site: Alan Gomelsky Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTTKS Claimant, Wachovia Securities, LLC, hereinafter referred to as "Claimant", was represented by Jonathan E. Levine, Esq., Law Offices of Daniel S. Fiore,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riaimant Cast* Nnmhpr- 04-08404 Amy Keller Names of the Respondents Hparing Sit^- Pittsburgh, PA Edward Harris Linsco/Private Ledger Corporation Nature of the Dispute: Customer vs. Member and Associated Person. RF.PttF.SPNT ATION OF PARTTF.S Claimant, Amy Keller, hereinafter referred to as "Claimant", was represented by David Longood, Esq., Law Offices of Dav

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Margaret Buckley, (Claimant) vs. Dirks & Company, Inc., (Respondent) Case Number: 01-00385 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Margaret Buckley, hereinafter referred to as "Claimant": Julie Withers, Legal Intern, Lincoln Square Legal Services, Inc., New York, NY. Respondent, Dirks & Company, Inc., hereinafter referred to as "Respondent": David

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Curtis E. Massood and 04-08402 Kansas City, Missouri Name of Respondents First MidAmerica Investment Corp. Douglas W. Hemke Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATTON OF PARTIES Curtis E. Massood ("Claimant") was represented by John J. Miller, Esq., Law Office of John J. Miller, P.C., Kansas City, Missouri.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patrick 1 Pullinzi ("Claimant") v. Citigroup Global Markets, Inc. ("Respondent") Case Number: 04-08391 Hearing Site: Buffalo, New York Nature of the Dispute: Customer v Member REPRESENTATION OF PARTIES Claimant Patrick L Pullinzi ("Pullinzi") hereinafter referred to as "Claimant": Stuart E. Finer, Esq., Law Offices of Finer & Giruzzi-Mosca, Utica, NY. Respondent Citig