Award NASD Dispute Resolution In the Matter of the Arbitration Between: National Planning Corporation, LLC (Claimant) v. Robert Lesser (Respondent) Case Number: 04-06074 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant National Planning Corporation, LLC hereinafter referred to as "Claimant": Dan Hulea, Esq., previously Dianna McCarthy, Esq., Winget Spadafora & Schwartzberg, LLP, New

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06070 Robert J, Walters, Claimant v. Sterling Financial Investment Group, Inc. and Anthony DaCosta, Respondents ATTORNEYS: Claimant, Robert J. Walters, ("Claimant") appeared Pro Se, Anaheim, CA. Respondents, Sterling Financial Investment Group, Inc. and Anthony DaCosta, (collectively "Respondents"), appeared through in-house counsel Marc L. Abramson, Esq., Boca Raton, FL. NATURE OF DISPU

CASE: 04-06069 Surinder Mahant, Claimant v. HARRISDirect, LLC, Respondent ATTORNEYS: Claimant Surinder Mahant ("Claimant") appeared pro se, Randolph, NJ. For Respondent HARRISDirect, LLC ("Respondent") appeared William B. Baran, Esq., in- house counsel, HARRISDirect, LLC, Chicago, IL. NATURE OF DISPUTE: Customer vs. Member. DATE FILED: August 23, 2004 CASE SUMMARY: Claimant alleged that Respondent failed and refused to execute his order in a timely

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael and Nancy Morrell, Claimants v. Stuart K. Simon and Wedbush Morgan Securities Inc., Respondents Case Number: 04-06067 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: John Messina, Esq. John Christensen, Esq. Messina Bulzomi Tacoma, Washington For Respondent Wedbush Morg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John P. Carriero (Claimant) v. UBS Securities, LLC (Respondent) Case Number: 04-06059 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, John P. Carriero ("Carriero"), hereinafter referred to as "Claimant": Saul Roffe, Esq., Sirota & Sirota LLP, New York, NY. Respondent, UBS Securities, LLC, ("UBS"), hereinaft

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06055 Clair J. Read and Sherrie A. Read, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Respondent ATTORNEYS: ~~ For Claimants, Clair J. Read and Sherrie A. Read, ("Claimants")* appeared Jan Graham, of Jan Graham Law Offices, Salt Lake City, UT. For Respondent, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., ("Respondent"), appeared A. Jami

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06054 Bessie Pease Spillman, (Claimant) vs. Citigroup Global Markets, Inc., (Respondent) ATTORNEYS: For Claimant appeared Jan Graham, of Jan Graham Law Offices, Salt Lake City, UT. For Respondent appeared Mark L. Parmelee, of the firm Greenberg Traurig, LLP, New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: August 23, 2004 CASE SUMMARY: Claimant alleged that Respondent

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Larry Kraus and Sharon Kraus and 04-06045 Kansas City, Missouri Signator Investors, Inc. James Arthur Gallogy, d/b/a The Heartland Gallogly Agency Stephen Dewey Godfrey, in [R4] Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member REPRESENTATION OF PARTIES Larry Kraus and Sharon Kraus ("Claimants") were represent

Award NASD Dispute Resolution In the Matters of the Arbitration Between: David L. Katz Living Trust, David L. Katz, Trustee, Claimant v. Syndicated Capital, Inc. and Michael J. DeCoux, Respondents Michael J. DeCoux, Counter-Claimant v. David L. Katz Living Trust, David L. Katz, Trustee, Counter-Respondent Michael J. DeCoux, Cross-Claimant v. Syndicated Capital, Inc., Cross-Respondent Michael J. DeCoux, Third-Party Claimant v. Faith Li Lee, Third-Party R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Southfield Investors Limited Partnership v. Jeffrey Goldenberg and Josephine Linden Case Number: 04-06036 Hearing Site: New York, New York Nature of the Dispute: Customer v. Associated Persons. REPRESENTATION OF PARTIES Claimant Southfield Investors Limited Partnership ("Southfield") hereinafter referred to as "Claimant": Harvey J. Kesner, Esq., Olshan Grundman Frame Rosenzweig &