AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants William Perry and Virginia Perry v. 04-06948 Minneapolis, Minnesota Respondent New England Securities Corporation Nature of Dispute: Customers v. Member REPRESENTATION OF PARTIES William Perry and Virginia Perry ("Claimants") were represented by Amy M. Leonetti, Esq., and Harvey H. Eckart, Esq., of Eckart and Leonetti, St. Paul, Minnesota. New England Se

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06929 Robert L. Albrecht and Janet Albrecht, (Claimants) vs. NatCity Investment, Inc., (Respondent) ATTORNEYS: For Claimants appeared Eugene J. Casey, CPA, Farmington Hills, MI. For Respondent appeared in-house counsel Curtis M. Jacobs, Esq., Louisville, KY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: October 1, 2004 CASE SUMMARY: Claimants alleged that Respondent breached the

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: i Terry G. Trilling and Kathe Trilling (Claimants) v. James Yglesias Jr., James E. Nielsen, and Prudential Securities, Incorporated n/k/a Prudential Equity Group, IXC (Respondents) Case Number: 04-06916 Hearing Site: New York City, New York Nature of the Dispute: Customers vs. Associated Persons and Member REPRESENTATION OF PARTIES Claimants Terry G. Trilling ("T. Tri

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roberta Kaufman (Claimant) v. HSBC Brokerage (USA) Inc. (Respondent) Case Number: 04-06915 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Roberta Kaufman hereinafter referred to as "Claimant" appeared pro se. Respondent HSBC Brokerage (USA) Inc. hereinafter referred to as "Respondent": Scott D. Miller, Esq., HSBC B

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: TD Waterhouse Investor Services, Inc. (Claimant) v. Andrea Bronner (Respondent) Case Number: 04-06912 Hearing Site: Albany, New York ^^^^^^^•^^MI^V^BP^^V^H^^BHa^^H^^BflM^^BMMMa*^B^^^^^B^^H^^^^^^^^^H^MBM^M^BmaB*^^B^H^ABW^B^^BI^H^M^^M^^^^^^^^^^^^^^^^^^K.^H Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES Claimant TD Waterhouse Investor Services, Inc. here

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lorna Schmidt, Trustee of the Marr 1998 Trust, Claimant v. Carol M. Fantazia and American Express Financial Advisors, Inc. n/k/a Ameriprise Financial Services, Respondents Case Number: 04-06905 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Michael J. Macko, Esq. Gianelli & Fores

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-00303 CCJ Trust Mittersill Investment Partners Names of the Respondents Hearing Site: Boca Raton, FL CIBC World Markets Corp. Emanuel A. Scarso Joseph C. Quattrochi LCP Capital Corp. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For CCJ Trust ("CCJ") and Mittersill Investment Par

CASE: 04-06901 First Montauk Securities Corp., Claimant v. Christian Eminente, Respondent ATTORNEYS: For Claimant First Montauk Securities Corp. ("Claimant") appeared Michael S. Colombo, of Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent Christian Eminente ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: September 30, 2004. CASE SUMMARY: Claimant alleged th

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carolyn S. Russell and Lindsay C. Russell JTWROS, Carolyn Russell SEP, and Carolyn S. Russell IRRA (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Sally Ann Weger (Respondents) Case Number: 04-06872 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Carolyn S. Russell and Lindsay

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06870 National Securities Corporation, Claimant v. Calogero Mannino, Respondent ATTORNEYS: For Claimant National Securities Corporation ("Claimant") appeared Michael S. Colombo, of Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent Calogero Mannino ("Respondent") appeared pro se, Astoria, NY. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: September 29, 2004.