AWARD NASD Dispute Resolution in the Matter of the Arbitration Between Claimant Carole A. Dagg and Case Number: 04-04352 Hearing Site: Troy, Michigan Respondents RBC Dain Rauscher Inc., Gregory J. Schwartz & Company, Inc., and Timothy Allen Newman NATURE OF DISPUTE Customer v. Members and Associated Person REPRESENTATION OF PARTIES Carole A. Dagg ("Claimant") was represented by David A. Monroe, Esq., Law Offices of David A. M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward T. McElwreath (Claimant) v. Refco Securities, LLC and Refco Group, Ltd. (Respondents) Case Number: 04-04351 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Member REPRESENTATION OF PARTIES Claimant Edward T. McElwreath hereinafter referred to as "Claimant": Sean F. O'Shea, Esq., Law Offices of Sean F. O'Shea, New York, NY.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-04346 A.M. and Nancy G. Tortorich Name of the Respondent Hearing Site: New Orleans, Louisiana Morgan Stanley Dean Witter Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For A.M. and Nancy G. Tortorich, hereinafter referred to as "Claimants": George W. Healy, IV, Esq., George W. Healy, IV & Associates, Gulfport, Mis

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Robert Greenhill IRA Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB. Grubman Case Number: 04-04345 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert Greenhill IRA ("Greenhill"), hereinafter referred to as "Cl

CASE: 01-00172 Michael J. Parent!, Jr., claimant vs. Alan Korn and Sherwood Capital, respondents. ATTORNEYS: For Claimant appeared Randy Scott Zelin, Esq., Westbury, NY. Respondent Alan Korn appeared pro se, Harrisburg, PA. Respondents Sherwood Capital did not appear in the matter. DATE FILED: January 12, 2001 CASE SUMMARY: Claimant alleged that respondents placed defamatory, misleading inaccurate, and erroneous information on his CRD record. , , .

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ryan Beck & Co., Inc. (Claimant) v. Christos Sawa (Respondent) Case Number: 04-04344 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Ryan Beck & Co., Inc. ("Ryan Beck") hereinafter referred to as "Claimant": Jennifer Woods Burke, Esq., Lubiner & Schmidt, Cranford, NJ. Respondent Christos Sawa ("Sawa") herei

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Jean C. Bonadio Linda J. Moreno Name of the Respondent Legend Equities Corporation Case Number: 04-04341 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jean C. Bonadio ("Bonadio") and Linda J. Moreno ("Moreno"), hereinafter collectively referred to as "Claimants": Joel A. Goodman,

-a 4 * * AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Bane One Securities Corporation and 04-04340 Chicago, Illinois Name of Respondent Abdul B. Mughal Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Bane One Securities Corporation ("Claimant") was represented by Kenneth F. Berg, Esq., Ulmer & Berne LIP, Chicago, Illinois. Abdul B. Mughal ("Respondent") did

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carol Howe, individually and as co-trustee and beneficiary of the David E. Howe Trust and for the Estate of David Howe, Claimants v. Wachovia Securities, LLC, Respondent Case Number: 04-04336 Hearing Site: Helena, Montana Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Linda M. Deola, Esq. Reynolds, Motl and Sherwood Helena, Montana

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants . - • . , '. ' i . Helen D. Logarakis, Ind and as Trustee of The Eliopoulos Family Limited Partnership and . 04-04334 t Chicago, Illinois Name of Respondents ; Stifel, Nicolaus < fc Co., Inc. • Stephen Straus , Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PATCHES Helen p.'Jj^garakis, hidand as Tru