NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04282 Joseph Greenberger and Edith Greenberger, Claimants v. Morgan Stanley DW, Inc. and Melvin Freedman, Respondents ATTORNEYS: Claimants Joseph Greenberger and Edith Greenberger (collectively "Claimants") appeared pro se through Joseph Greenberger, Hallandale, FL. For Respondents Morgan Stanley DW, Inc. and Melvin Freedman (collectively "Respondents") appeared Doreen S. Young, Esq., in

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vassiliki Tolia (Claimant) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. (Respondent) Case Number: 04-04280 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Vassiliki Tolia hereinafter referred to as "Claimant": Chris Stratakis, Esq., Poles, Tublin, Stratakis, Gonzalez & Weichert, LLP, New York, NY

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James W. Reidy (Claimant) v. Merrill Lynch, Pierce, Farmer & Smith, Inc., E. Stanley O'Neal, John C. Stomber, and Cory Little (Respondents) Case Number: 04-04279 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant James W. Reidy ("Reidy") hereinafter referred to as "Claimant": Theodore J.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Joseph L. and Karen S. Captor Case Number: 04-04274 is nf the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Donald S. Moyer Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIF.S Claimants, Joseph L. and Karen S. Captor, hereinafter collectively referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04265 Robert L. Takacs Names of the Respondents Hearing Site: Atlanta, Georgia Deutsche Bank Alex Brown Don Milich Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert L. Takacs, hereinafter referred to as "Claimant": Nicholas A. Dodys, Esq., Atlanta, Georgia. For Deut

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04262 Dorothy M. Stevens, T.O.D. Sue Fahrenwald and Roxanne Sturtivant Names of the Respondents Hearing Site: Orlando, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Dorothy M. Stevens, T.O.D. Sue Fahrenwa

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Capital Securities of America, Inc., Claimant Vs. Thomas L. Dooley, Respondent. Case Number: 01-00165 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimant Capital Securities of America, Inc. ("Claimant"), was represented by Anne W. Larkin, Esquire, and Dennis Concilia, Esquire, of Carlile, Patchen & Murphy, LLP, Columbus, Ohio. , Respondent/C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Michael Kostoff Names of the Respondents Vincent Cervone Yankee Financial, Inc. Fleet Securities, Inc. Case Number: 04-04259 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Michael Kostoff, hereinafter referred to as "Claimant": Theodore M. Davis, Esq., Brooklyn,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Thomas G, Hackett, Individually and as Trustee for the Devananda Tandavan Trust (dated 11/16/94) and Case Number: 04-04247 Hearing Site: Chicago, Illinois Names of Respondents PEB Financial Group, Inc. and Thomas C. Reynolds NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Thomas G. Hackett, Indi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Margaret Jan Kemp IRA Rollover and Margaret Jan Kemp as Trustee under the Margaret Jan Owens Kemp Trust and Names of Respondents Morgan Stanley DW, Inc., and Ronnie Lee Houston Case Number: 04-04246 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Margaret Jan Kem