NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03698 Charles Schwab & Co., Inc., Claimant v. Brent D. Mblovinsky, Respondent ATTORNEYS: ~~ ~~~~ For Claimant Charles Schwab & Co., Inc. ("Claimant") appeared Brandon K. Hemley, Esq., in- house counsel, Charles Schwab & Co., Inc., San Francisco, CA. Respondent Brent D. Molovinsky ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Customel D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03696 Michael Logan Mindy G. Harper Name of the Respondent Hearing Site: Tampa, FL Tim Logan Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES For Michael Logan and Mindy G. Harper ("Claimant Harper"), hereinafter collectively referred to as "Claimants": Michael Logan, Palmetto, FL. For Tim Logan (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shelah Bennett (Claimant) v, Robert T, Maloney and Prudential Securities, Incorporated n/k/a Prudential Equity Group, LLC (Respondents) Case Number: 04-03692 Hearing Site: New York City, New York Nature of the Dispute: Customer v. Associated Person and Member REPRESENTATION OF PARTIES Claimant Shelah Bennett ("Bennett") hereinafter referred to as "Claimant": Mitchell B. Pollack,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimants Case Number: 01-00109 Erika I. Friedl and Robert R. Friedl Name of the Respondents Hearing Site: Chicago, Illinois LCP Capital Corp., Kevin P. Brody, Leonard J. Inserra, Ross S. Inserra, Gregory E. Ricca, Ronald D. Armitage, David M. Murray, Nicholas A. Cutrone, Anthony J. Aliotta, Jr., Ira B. Newman, Charles S. Stoffers, and Silver Capital Gr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimant Rosa Burney nfthft Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Pare Number 04-03681 Hearing Site: Raleigh, North Carolina Nature of the Dispute: Customer vs. Member. RKPRFSFNTATTON OF PARTIES Claimant, Rosa Bumey, hereinafter referred to as "Claimant", was represented by C. David Mee, Esq., Woska & Hayes, LLP, Kingwood, Texas. Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Scott Macolino and Roger Shaffer Name of the Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Case Number: 04-03671 Hearing Site: Atlanta, Georgia Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Scott Macolino ("Macolino") and Roger Shaffer ("Shaffer"), hereinafter collectively referred to as "Claimants"

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Floyd R. Hanna Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. John David Clark Case Number: 04-03669 Hearing Site: Little Rock, Arkansas Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Floyd R. Hanna, hereinafter referred to as "Claimant": Charles C. Hunter, Esq., Wo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03659 Kathryn Aho, Personal Representative for the Estate of Inez Helms Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith Incorporated Paul Francis Luther, Merrill Lynch Financial Consultant Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Partington, Claimant v. J.P. Morgan Securities, Inc., Steven Carroll, and Ralph Witherell, Respondents Case Number: 04-03656 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES For Claimant: Irwin G. Stein Law Offices of Timothy A. Canning Novato, California For Respondents: Rob

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Abraham Spieler TTEE FBO Abraham Spieler Names of the Respondents Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. JackB. Grubman Case Number: 04-03655 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PJ For Abraham Spieler TTEE FBO Abraham Spieler, hereinafter