Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of thp PlaiTnantc PageNiimKer- Q4-04074 David B. Noe Patricia A. Noe Names nf the Respondents Hearing Site* Pittsburgh, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Gary M. Cohen Nature of the Dispute: Customers vs. Member and Associated Person. RFPBFSFNTATION Off PAWTTFS Claimants, David B. Noe and Patricia A. Noe, hereinafter collectively referred to as '^Claim

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04071 Gabriel Carbone, Claimant v. Fixed Income Securities, Inc. and Donald Scott Rykert, Respondents ATTORNEYS: For Claimant Gabriel Carbone ("Claimant") appeared Brian Guillorn, Esq., New York, NY. For Respondents Income Securities, Inc. and Donald Scott Rykert (collectively "Respondents") appeared Brian A. Carlis, Esq., of the firm Stark & Stark, P.C., Princeton, NJ. NATURE OF DISPUTE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Turhan Henderson, Sr. & Diane L. Henderson FKA Abrams (Claimants) v. Edward Jones and Flonnoya J. Franklin (Respondents) Case Number: 04-04070 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Turhan Henderson, Sr. & Diane L. Henderson FKA Abrams, hereinafter referred to as "Claimants": James J. Jon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Estate of Stephen Roach (Claimant) v. Cantor Fitzgerald Securities, Inc. (Respondent) Case Number: 04-04068 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant The Estate of Stephen Roach hereinafter referred to as "Claimant": Deborah E. Lans, Esq., and Gary Lerner, Esq., Cohen Lans, LLP, New York, NY. Previously re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: i Name of the Claimant Case Number: 04-04051 Wesley Howard Name of the Respondents Hearing Site: Chicago, Illinois Lehman Brothers, Inc., SG Cowen Securities Company and John Michael Leonard Nature of the Dispute: Customer vs. Member Firms and Associated Person REPRESENTATION OF PARTIES Wesley Howard ("Howard") referred to as "Claimant"; Sandor Grossman, Esq. of Chicago,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Patsy D. Deveau and Names of Respondents Morgan Stanley DW, Inc., and Constance C. Carpeno-Paddock Case Number: 04-04041 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Patsy D. Deveau ("Claimant") was represented by Donald M. Feferman, Esq., Donald M. Feferman, PC, Cor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Stanley Aronson IRA Names of the Respondents Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. Jack B. Grubman Case Number: 04-04031 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Stanley Aronson IRA, hereinafter referred to as "Claimant": Douglas

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thfi rimrrmnt Pare Number 04-04029 Michael Weinberg Names nf thf* Respondents Hearing Site- Baltimore, MD Cardinal Capital Management, Inc. Joseph Quattrochi Nature of the Dispute: Customer vs. Terminated Member and Associated Person. RFPRRSFNTATTON OF PARTTFS Claimant Michael Weinberg ("Claimant") was represented by Dan Brecher, Esq., Law Offices of Dan Brecher,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the rimmant raseNiimhftr 04-04028 John Francis Shupe Names of fhft ttegpnnH ftnfg Hraring Site* Washington, D.C. Morgan Stanley Dean Witter, Inc. Paul R. Andrews, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. PFPKRSPNTATTON OF PAKTTFS Claimant, John Francis Shupe, hereinafter referred to as "Claimant"., was represented by Joseph A.Artabane, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04027 Fred D. Bisplinghoff IRA Names of the Respondents Hearing Site: Orlando, Florida Citigroup Global Markets Inc., i7k/a Salomon Smith Barney Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Fred D. Bisplinghoff IRA, hereinafter referred to as "Claimant": Douglas H