Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-05367 Jerry M. Turk and Helen R. Turk Names of the Respondents Hearing Site: Tampa, FL Sterne Agee Capital Markets, Inc. Robert Marvin Harris, III Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jerry M. Turk and Helen R. Turk, hereinafter collectively referred to as "Claimants"

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Alberta Bove Names of the Respondents Merrill Lynch, Pierce, Former & Smith, Inc. Karl Seitz , Case Number: 04-05359 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTTES For Alberta Bove, hereinafter referred to as "Claimant": Scott L. Silver, Esq., Blum & Silver,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert C. Rachel (Claimant) vs. Donna Sulzbach and Vestax Securities Corp. n/k/a Multi- Financial Securities Corp. (Respondents) Case Number: 04-05356 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant Robert C. Rachel hereinafter referred to as "Claimant": John S. Chapman, Esq., Cleveland, OH. Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: National Securities Corporation (Claimant) v. Erroll Wilson (Respondent) Case Number: 04-05354 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, National Securities Corporation ("NSC") hereinafter referred to as "Claimant": Martin S. Cole, Esq., Law Offices of Martin S. Cole, New York, NY. Previously represented

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James F. Byrnes (Claimant) v. Morgan Stanley Dean Witter & Co., and Robert P. Hart (Respondents) Case Number: 04-05351 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant James F. Byrnes ("Byrnes") hereinafter referred to as "Claimant": John J. Blanchard, Esq., Sea Girt, NJ. Respondent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00231 Curt Anthony Miles, claimant vs. Morgan Stanley Dean Witter, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Sherman Oaks, CA. For Respondents appeared David P. Restaino, Esq., in-house counsel, New York, NY. DATE FILED: January 17, 2001. ~~~ CASE SUMMARY: Claimant alleged that respondent made unauthorized margin trades of the Osicom Technologies stock in his IRA and Ro

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margaret J. Smith Living Trust and Charles R. Smith IRA (Claimants) v. Edward Jones (Respondent) Case Number: 04-05350 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Margaret J. Smith Living Trust ("Smith Trust") and Charles R. Smith IRA ("Smith IRA") hereinafter collectively referred to as "Claimants": David P. Me

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05345 National Securities Corporation, Claimant v. Andrew Croxson, Respondent ATTORNEYS: For Claimant National Securities Corporation ("Claimant") appeared Michael S. Colombo., President, Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent Andrew Croxson ("Croxson") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED

DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05344 Lillian Alison Weiner Trust, Nancy and Mitchel Shapiro, TTEES, Claimant v. Citigroup Global Markets, Inc., Respondent ATTORNEYS: For Claimant Lillian Alison Weiner Trust ("Claimant") appeared David E. Sternberg, Esq., of the firm Wapner, Newman, Wigrizer & Brecher, Philadelphia, PA. For Respondent Citigroup Global Markets, Inc. ("Respondent") appeared Ann Parry, Esq., in- house counsel,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05341 Marta Eugenia Palomo TTEE U/A 2/14/84 by Marta E. Palomo FBO Victoria Suarez-Palomo Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Marta Eugenia Palomo TTEE U/A 2/14/84 by Marta E. Palomo FBO Victoria Suarez