Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Notine, III and Estate of Robert Notine, Jr. (Claimants) v. LH Ross & Co., Inc. and Franklyn R. Michelin (Respondents) Case Number: 04-06286 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Robert Notine, III and Estate of Robert Notine, Jr. ("the Estate") hereinafter referred to as "Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marsha Kline, Claimant v. Mo Belafkih, Respondent Case Number: 04-06282 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Associated Person REPRESENTATION OF PARTIES For Claimant: Paul W. Thomas, Esq. Paul W. Thomas & Associates Carlsbad, California For Respondent: Mo Belafkih In Propria Persona Los Angeles, California CASE INFORMATION

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06280 Citigroup Global Markets, Inc., Elena Cuoco, and Lawrence Kastin, Claimants v. Ernest Giacopelli, Respondent ATTORNEYS: "" "~ " For Claimants Citigroup Global Markets, Inc., Elena Cuoco, and Lawrence Kastin (collectively "Claimants") appeared Erika Schneider Downes, Esq., of the firm Bressler, Amery & Ross, P.C., Morristown, NJ. For Respondent Ernest Giacopelli ("Respondent") appea

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06276 Michael J. McNamara (Claimant) v. Gargoyle Strategic Investments, LLC, Bruce Thomer RogofF, Joshua Benjamin Parker, and Charles Goodgal (Respondents) ATTORNEYS: ~~ " Claimant Michael J. McNamara ("Claimant") appeared/?™ se, Greenburgh, NY. For Respondent Gargoyle Strategic Investments, IXC appeared Charles Goodgal, Chief Executive Officer, Gargoyle Strategic Investments, LLC, Eogtewood

CASE: 04-06274 • Timothy Richard McBride, Claimant v. Crown Financial Services, inc., Respondent ATTORNEYS: Claimant Timothy Richard McBride ("Claimant") appeared pro se, Staten Island, NY. For Respondent Crown Financial Group, Inc. ("Respondent") appeared Philip T. Frank, Esq., in- house counsel, Crown Financial Group, Inc., Jersey City, NJ. NATURE OF DISPUTE: Associated Person vs. Member. DATE FILED: August 25, 2004. CASE SUMMARY: Claimant alleged tha

AUS-18-E005 00=21 FROM:N A S D 646-625-6027 70:91301 Award NASD Dispute Resolution 5274780 In the Matter of the Arbitration Between: Renee Lcm-Newinan (Claimant) v, Citigroup Global Markets, Inc., f/k/a Salorr Inc. (Respondent) Case Hurnber: 04-06270 HearirigSite: New on Smith fork, Nevj York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Renee Lem-Newman (''Newman") hereinafter referred to as "Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Darren Tsui and Tina Tsui, Claimants v. RBC Dain Rauscher Inc. and Mark Bailey, Respondents Case Number: 04-06265 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: John A. Bender, Esq. Kristin Nealey Meier, Esq. Ryan, Swanson & Cleveland, PLLC Seattle, Washington For Respondents

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Evelyn Dolores Hendrichs, Claimant v. A.G. Edwards & Sons, Inc., Respondent Case Number: 04-06264 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Rosalind M. Robertson, Esq. Nicholas P. lavarone, Esq. Simmons Cooper LLC East Alton, Illinois For Respondent: Dennis Capriglione, Esq. A.G. Edwards & Sons,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06261 Mary S. Nelson, Individually and as Owner and Beneficiary of the Mary S. Nelson IRA Name of the Respondent Hearing Site: Tampa, Florida Prudential Equity Group, LLC, f/k/a Prudential Securities Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mary S. Nelson, Individually and as Owner

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-00284 Wayne Goldstein, claimant vs. Morgan Stanley Dean Witter Online, respondent. ATTORNEYS: Claimant appeared Pro Se, Rutherford, NJ. For Respondents appeared Judith M. Rosenberg, Esq., in-house counsel, San Francisco, CA. DATE FILED: January 18, 2001 CASE SUMMARY: Claimant alleged that respondents liquidated his margin account without any notification creating a margin call there