NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04923 Mary A. Shevlin, Claimant v. J.P. Morgan Invest, LLC and Brown Co., Respondents ATTORNEYS: Claimant Mary Shevlin ("Claimant") appeared pro se, Medford, NY. For Respondents J.P. Morgan Invest, LLC and Brown Co appeared Bruce D. Levin, Esq., of the firm Bernkopf Goodman, LLP, Boston, MA. J.P. Morgan Invest, LLC and Brown Co. are hereinafter collectively referred to as "Respondents".

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vincent Lupo Jr. (Claimant) v. Neuberger Berman, LLC, Neuberger Berman Inc. and Lehman Brothers Holdings, Inc. (Respondents) Case Number: 04-04922 Hearing Site: New York City, New York Nature of the Dispute: Associated Person v. Members and Non-Member REPRESENTATION OF PARTIES Claimant Vincent Lupo Jr. ("Lupo") hereinafter referred to as "Claimant": Andrew S. O'Connor, Esq., Law

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph M. Salerno, Beverly T. Salerno and Joseph Salerno and Beverly T. Salerno, JTWROS (Claimants) v. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman (Respondents) Case Number: 04-04920 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Joseph M. Salerno,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Raymond Lee (Claimant) v. Mellon Securities LLC (Respondent) Case Number: 04-04915 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant Richard Raymond Lee hereinafter referred to as "Claimant": Robert H. Hotz, Jr., Esq., Akin, Gump, Strauss, Hauer & Feld, LLP, New York, NY. Respondent Mellon Securities, L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf flip nnimnnt rasp Niimhpi- 04-04914 Barbara A. Weisman nf tfrp RpcpnnHpnfg Hearing Sifp- Pittsburgh, PA Prudential Equity Group, LLC fTk/a Prudential Securities, Inc. Scott Revis Grace Lostetter Nature of the Dispute: Customer vs. Member and Associated Persons. PFPRF.SFNTATION OF PARTTF.S Claimant, Barbara A. Weisman, hereinafter referred to as "Claimant", was rep

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04909 Jerry P. Gisclair Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jerry P. Gisclair, hereinafter referred to as "Claimant": Douglas H. Glicken, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04907 Robert E. Rast and Linda J. Rast, JTWROS Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB.Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert E. Rast and Linda J. Rast, JTWROS, hereinafter re

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Aida Babajanian vs. Case Number: 04-04900 Hearing Site: Houston, Texas Name of Respondent Compass Brokerage, Inc. NATURE OF CASE Associated Person vs. Member Firm REPRESENTATION OF PARTIES Claimant, Aida Babajanian, of Sugar Land, Texas, appeared pro se. Respondent, Compass Brokerage, Inc., was represented by John W. Lilley, III, Esq.,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Norton Herrick Case No. 01-00208 Hearing Site: Boca Raton, Florida Name of Respondent Harris A. Shapiro REPRESENTATION OF PARTIES For Norton Herrick ("Herrick"), hereinafter referred to as "Claimant": David Richan, Blank Rome Tenzer Greenblatt LLP, New York, New York. For Harris A. Shapiro ("Shapiro"), hereinafter referred to as "Respondent": Da

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Charles M. Whitt, Linda C. Whitt and Charles M. Whitt, custodian for Barry J. Whitt and 04-04899 Kansas City, Missouri Name of Respondents Dimensions Investment Management, Inc. Eric Todd Burns Robert Scott Richardson Shawn Duane Sokolosky Glenn Calvin Rappard James Ervin Fisher, ID Nature of the Dispute: Customers vs. Member and Associat