NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06705 Linda Miska (Claimant) v. Robert and Aline Jandreau (Respondents) ATTORNEYS: For Claimant Linda Miska ("Claimant") appeared Julie Wilson Portera, Esq., of the firm Maynard, Cooper & Gale, P.C., Birmingham, AL. For Respondents Robert and Aline Jandreau (collectively "Respondents") appeared Michael B. Lynch, Esq., of the firm Hooper & Weiss, LLC, Orlando, FL. NATURE OF DISPUTE: Assoc

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant / Counter Respondent Daniel G, Kahn and Names of Respondents / Counter Claimants First Southwest Company, Fixed Incom^ Securities, LLP ; Joe Robert Cotton, and Patricia Gail Bratton Case Number: 04-06696 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firms and Associated Persons REPRESENTATION OF PARTIES Daniel G

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06679 Birch Rice, Claimant v. Advest, Inc., Respondent ATTORNEYS: For Claimant Birch Rice ("Claimant") appeared Quintin F. Luidsmith, Esq., of the firm Zeiger, Tigges, Little & Lindsmith, LLP, Columbus, OH. For Respondent Advest, Inc. (**RespondenO appeared Douglas R. Jennings, Esq., of the firm Carlile, Patchen & Murphy, LLP, Columbus, OH. NATURE OF DISPUTE; Customer vs. Member. DAT

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06665 Zoltan Magyar and Magdalena Magyar, Claimants v. Howard Geiler and Martin Bedell, Respondents ATTORNEYS: Claimants Soltan Magyar and Magdalena Magyar (collectively "Claimants") appeared pro se, Pearl River, NY For Respondents Howard Geiler and Martin Bedell (collectively "Respondents") appeared Lauryn J. Hart, Esq., in-house counsel, Merrill Lynch, Pierce, Fenner & Smith, Inc., New

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward Egilinsky (Claimant) v. Kenmar Advisory Corporation, Kenmar Securities, Inc., and Kenmar Holdings, Inc. (Respondents) Case Number: 04-06653 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member and Non-Members REPRESENTATION OF PARTIES Claimant Edward Egilinsky hereinafter collectively referred to as "Claimant": Anne C. Vladeck, Esq., Vladeck

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06646 Penelope Thibodeau (Vitato), Trustee for 1 Ethel Hanson Trust Names of the Respondents Hearing Site: Tampa, FL Merrill Lynch, Pierce, Fenner and Smith Incorporated Thomas Architetto Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Penelope Thibodeau (Vitato), Trus

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Mr. Jaime Ros & Mrs. Ofelia Caldeyro & Mrs. Maria 0. Ros & Mrs. Maria L. Ros & Mrs. Patricia Caldeyro, Jt. Ten. Names of the Respondents Prudential Financial, Inc., d/b/a Prudential Securities Group, Inc., and Prudential Equity Group, Inc. Case Number: 04-06645 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member.

Award NAS.D Dispute Resolution, Inc. In the Matter of the Arbitration Between: Timothy Lucarelli, (Claimant) v. Peregrine Financials & Securities, Inc. and Peregrine Financial Group, Inc., (Respondents) Case Number: 01-00296 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Timothy Lucarelli ("Lucarelli") was pro se. Respondent Peregrine Financials & Securities, Inc. ("Peregrine")and Peregrine Financial Group, Inc. ("Peregrine G

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Keith McNeal and Janette McNeal and Names of Respondents Morgan Stanley DW, Inc. and John Bryan Johnson, III Case Number: 04-06633 Hearing Site: Oklahoma City, Oklahoma NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Keith McNeal and Janette McNeal ("Claimants") were represented by Vincent J. Imbesi,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06623 First Montauk Securities Corp., Claimant v. Craig Dima, Respondent ATTORNEYS: For Claimant First Montauk Securities Corp. ("Claimant") appeared Michael S. Colombo, President, Streerwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent Craig Dima ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: Septemb