Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph and Angelina Parella, Joseph Parella, Angelina Parella f/b/o Daniel Parella and Angelina Parella f/b/o Joseph Parella (Claimants) vs. Milton Koenigsberg and Northeast Securities Incorporated (Respondents) Case Number: 04-06540 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES — - t Claimants Jo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Albert L. Orient, as an Individual and as Trustee of the Albert L. Orient Trust (Claimant) v. Bane One Securities Corporation and Sharlene Pierce (Respondents) Case Number: 04-06539 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Albert L. Orient, as an Individual and as Trustee of the Albert L. Orien

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Helen James, Trustee, on behalf of the Helen James Living Trust and Helen James, individually, Claimants v. Intra-Network Securities, Inc., Richard W. Simpson, and Dennis A. Pearson, Respondents Case Number: 04-06496 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Floyd R. Brown, Esq.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Sanford C. Bernstein & Co., LLC, a wholly owned subsidiary of Alliance Capital Management, L.P. and Case Number: 04-06495 Hearing Site: Chicago, Illinois Name of Respondent Thomas Drake NATURE QF DISPUTE Member v. Associated Person REPRESENTATION QF PARTIES Sanford C. Bernstein & Co., LLC, a wholly owned subsidiary of Alliance Capital Man

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sandra J. Richard and Ronald M. Richard, Jr. (Claimants) v. A.G. Edwards, Greg Hood and Richard lannacone (Respondents) Case Number: 04-06482 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Sandra J. Richard and Ronald M. Richard, Jr. hereinafter collectively referred to as "Claimants": Ste

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Billy Pendleton and Freda Pendleton v. 04-06479 Louisville, Kentucky Respondent Morgan Keegan & Company, Inc. NATURE OF DISPUTE Customers v. Member Firm REPRESENTATION OF PARTIES Billy Pendleton and Freda Pendleton ("Claimants") were represented by Douglas T. Logsdon, Esq., and Robert E. Maclin, IE, Esq., of McBrayer, McGinnis Leslie & Kirkland, PLLC, Le

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Capstone Investments, Inc., Claimant v. Lamon & Stern, Inc., Respondent Case Number: 04-06477 Hearing Site: San Diego, California Nature of the Dispute: Member v. Member REPRESENTATION OF PARTIES For Claimant: Andrew B. Serwin, Esq. Foley & Lardner LLP San Diego, California Scott L. Dahle, Esq. Capstone Investments, Inc. Palos Verdes Estates, California For Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Antonia Honiss (Claimant) v. National Clearing Corp. f7k/a J.B. Oxford & Company (Respondent) Case Number: 01-00294 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant Antonia Honiss ("Honiss") hereinafter referred to as "Claimant" appeared pro se. Respondent National Clearing Corp. #k/a J.B. Oxford & Company ("J.B.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Manohar Hasrajani, Claimant v. Wachovia Securities, LLC, Stephen D, Viets, David L. Kistner, Gordon C. Hammond, and Hughes & Hammond, Respondents , • Case Number: 04-06476 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member, Associated Persons, and Non-Member REPRESENTATION OF PARTIES For Claimant: Michael N. Feder, Esq. Beckley Singleton, CH

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06461 Jeffrey A. Meyerhardt, (Claimant) vs. Citigroup Global Markets, Inc. and Jack B. Grubman, (Respondents) ATTORNEYS: For Claimant appeared Michael B. Lynch, Esq., of the firm Hooper & Weiss, L.L.C., Orlando, FL. For Respondents appeared Mark L. Parmelee, Esq., of the firm Greenberg Traurig LLP, New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FIL