AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Morgan Keegan & Company, Inc. Claimant, vs. Scott Rackley, Respondent. Situs: Dallas, Texas. Case Number: 04-03757 NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES: Morgan Keegan & Company, Inc., hereinafter referred to as "Claimant": Shea O'Brien Hicks, Esq. of Morgan Keegan & Company, Inc., Memphis, Tennessee. Respondent did not ente

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants DiMare Homestead, Inc. Case Number: 01 -00115 DiMare Ruskin, Inc. DiMare Johns Island, Inc. DiMare Management, Corp. Paul J. DiMare Charitable Foundation Paul J. DiMare, Jr. Anthony DiMare Scott DiMare Gino DiMare Names of the Respondents Hearing Site: Boca Raton, Florida Donaldson Lufkin & Jenrette Securities Corporation

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Dorothy M. Hopkins, individually and as Trustee of the Dorothy M. Hopkins Trust, and William C. Hopkins, as Trustee of the Dorothy M, Hopkins Trust and 04-03756 Kansas City, Missouri Name of Respondents 1MB Scout Brokerage Service, Inc. Mark Wheeler Harris Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ryan Beck & Co., Inc. (Claimant) v. David Faraca (Respondent) Case Number: 04-03755 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Ryan Beck & Co., Inc. hereinafter referred to as "Claimant": Jennifer Woods Burke, Esq., Lubiner & Schmidt, Cranford, NJ. Respondent David Faraca hereinafter referred to as "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Maureen S. Slisz (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Thomas J. Renzi (Respondents) Case Number: 04-03751 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Maureen S. Slisz ("Slisz") hereinafter referred to as "Claimant": Robert A. Dean, Esq., the Dean

Award NASD Dispute Resolution In the Matter of the Arbitration Between: , PagR "N(iiTnhpr- 04-03749 Dominion Investor Services, Inc. NflTrjp nf thg^^pon^^nt^oiTPt^r-CJ^im^qt Hc-ftri^g ^itf Dallas Texas Joel I. Franklin NATITRF OFTTTF Member Firm vs. Associated Person Claimant/Counter-Respondent Dominion Investor Services, Inc., hereinafter referred to as "Dominion": George M. Bromley, Esq., of the Law Offices of George "Rocky" Bromley, locat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03744 Charles P. Steuber, Trustee for the Amended and Restated Charles P. Steuber 1999 Trust U/A/D 8/20/99 Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Charles P. Steuber, Trustee for

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03742 Estate of Miller Johnson Name of the Respondents Hearing Site: Boca Raton, Florida L.H. Ross & Company Franklin Ross Michelin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For the Estate of Miller Johnson, hereinafter referred to as "Claimant": Bradley R. Stark, Esq., Bradley R. Stark,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03739 Joseph T. Tannos and Mary Frances Tannos Claimants v. A. G. Edwards & Sons, Inc., and R. L. "Skip" Rozelle, Sr., Respondents. ATTORNEYS: Claimants, Joseph T. Tannos and Mary Frances Tannos, ("Claimants") appeared pro se, League City, TX. Respondent, A. G. Edwards & Sons, Inc., and R. L. "Skip" Rozelle, Sr., (collectively "Respondents") appeared through their in-house counsel, Steph

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Clarence and Dorothy Coburn, Alan and Laura Fisher, Alan and Nancy Mahrer, and James W.Turbett and Case Number: 04-03733 Hearing Site: Oklahoma City, Oklahoma Name of Respondent Randy L. Betramea, dba Beltramea Investment Management NATURE OF DISPUTE Customers v. Associated Person REPRESENTATION OF PARTIES Clarence and Dorothy Coburn ("C