Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Maurice Friedland, as Trustee of The Stanley Halpern Trust Case No. 00-00608 Names of Respondents R.D. White & Co., Inc. Charles Principato John Robert Piscopo REPRESENTATION OF PARTIES For Maurice Friedland, as Trustee of The Stanley Halpern Trust ("HalpenT), hereinafter referred to as "Claimant**: Jeffrey S. Gmbman, Esq., Stollman and Grub

Stipulated Award NASD Dispute Resolution In The Matter of the Arbitration Between: Morgan Stanley D\V Inc. (formerly Dean Witter Reynolds Inc.) and Morgan Stanley Funding Services Corp. Claimants, CaseHuinber: 04-07514 .Vs. Hearing Site: Chicago, Illinois John'?. Hansen, Respondent. NATURE OF THE DISPUTE " ' ' . , ' . , . ' P| .. Member and Non-Member v. Associated Person , ' •

Stipulated Award NASD Dispute Resolution In the Matter of thfe Aibitration Between: Name nf thp Claimant Peggy D. McReynolds Names nftht* "Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Helen S. Hoffinan ; 04-07482 Hearing Site: Memphis, Tennessee Nature of the Dispute: Customer v. Member and Associated Person. RFPRFSffNTATTON OF PARTTFS Claimant, Peggy D. McReynolds, hereinafter referred to as "Claimant", was represented by A.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nelson P. Chia, Claimant v. Larry Richard Law and JRL Capital Corporation, Respondents Case Number: 04-07479 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person vs. Associated Person and Member REPRESENTATION OF PARTIES For Claimant: Robert E. Thompson, Esq. Law Offices of Robert E. Thompson San Francisco, California For Respondents: Richard H. R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Montauk Securities Corp., Claimant v. Michael Poutre and Shlomi Eplboim, Respondents Case Number: 04-07478 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Persons REPRESENTATION OF PARTIES For Claimant: Joel Levinson, Esq. First Montauk Securities, Corp. Red Bank, New Jersey For Respondent Michael Poutre: Michael A. Poutre, II In P

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07472 Marco Alfonsi, Claimant v. Javier Hernandez, Respondent ATTORNEYS: For Claimant Marco Alfonsi ("Claimant") appeared M. David Sayid, Esq., of the firm Sayid and Associates, LLP, New York, NY. Respondent Javier Hernandez ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Associated Person vs. Associated Person. DATE FILED: October 20, 2004. CASE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Yasinski (Claimant) v. Citigroup Global Markets, Inc. (Respondent) Case Number: 04-07467 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Joseph Yasinski hereinafter referred to as "Claimant": Neil A. Sussman, Esq., Sussman & Frankle, LLP, New York, NY. Respondent Citigroup Global Markets, Inc. hereina

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John T. Yannielli and Sandra B. Yannielli (Claimants) vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, and David L. Ivanovich, Jr. (Respondents) Case Number: 04 -07466 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants John T. Yannielli ("J. Yannielli") and Sandra B. Yannielli ("S. Ya

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07462 Kevin Sosa Names of the Respondents Hearing Site: Boca Raton, Florida UBS PaineWebber, Inc. Eugene B. Land Richard S. Marcatos Richard Reinhardt Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Kevin Sosa, hereinafter referred to as "Claimant": John R. Kiefher, Jr., E

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Hazel J. Chase and Hazel J. Chase 1992 Trust, Claimants v. Wells Fargo Investments, LLC, Wells Fargo Bank N.A., and Ray L. Seewer, Respondents i Case Number: 04-07458 Hearing Site: Reno, Nevada Nature of the Dispute: Customers v. Member, Non-MemberJ and Associated Person REPRESENTATION OF PARTIES — '" i i t i For Claimants: Nancy M. Battel, Esq. Law Of