Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James R. Lincoln, Jr. Claimant, Case Number: 04-03600 vs. RBC Dain Rauscher, Inc., Barbara June Forrest, and Thomas Eugene Riley, Respondents. Hearing Site: Dallas, Texas NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, James R. Lincoln, Jr., hereinafter referred to as "Claimant": Robert Bertsch, Esq.

'. AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant * Gregory C. Krych, and individually and on behalf of his IRA accounts and Respondents Raymond James & Associates, Inc., Oppenheimer & Co., Inc., and Stephen M. Carlson Case Number: 04-03596 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customer v. Members and Associated Person ! . , i REPRESENTATION OF PARTIES •• ' ' "

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Brenda Exline v. 04-03595 Denver, Colorado Respondents Dominick & Dominick, L.L.C., James H. Elliot Paul E. Elliot, Dominick & Dominick Advisers, L.L.C., Elco Energy Fund, L.P. and Elco Management Company, L.L.C. NATURE OF DISPUTE Customer v. Member, Associated Persons and Non-Members REPRESENTATION OF PARTIES Brenda Exline ("Claihiant") was represent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03577 Baggett Family Trust, Claimant v. Morgan Stanley DW, Inc., Respondent ATTORNEYS: " " " " For Claimant, Baggett Family Trust ("Claimant") appeared Paul N. Young, CEO/NAR of the Securities Arbitration Group, Inc., Los Angeles, CA. For Respondent Morgan Stanley DW, Inc. ("Respondent") appeared Judith M. Rosenberg, Esq., Law Division, Morgan Stanley, San Francisco, CA. NATURE OF DISPUT

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03576 Peyton D^Cauley, Claimant vs. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Jack Grubman, Respondents ATTORNEYS: ~ —— _ . _ _—__ For Claimant Peyton D. Cauley ("Claimant") appeared George W. Healy, IV, Esq., Gulfport, For Respondents Citigroup Global Markets, Inc. tfk/a Salomon Smith Barney, Inc. and Jack Grubman (collectively "Respondents") appeared Ann Parry, Es

P2 NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03574 Gary L. Miller, Claimant vs. Citigroup Global Markets, Inc. flk/a Salomon Smith Barney, Inc. and Jack Grubman, Respondents ATTORNEYS: ~ "" ~ ~ ~ ~ ~ For Claimant Gary L. Miller ("Claimant**) appeared George W. Healy, IV, Esq., of the firm George W. Healy, IV, & Associates. Gulfport, MS. For Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kung Ming Chan (Claimant) v. Merrill Lynch Pierce Fenner and Smith, Inc., and E. Stanley Peck Jr. (Respondents) Case Number: 04-03573 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Kuang Ming Chan hereinafter referred to as "Claimant": Appeared pro se. Respondents, Merrill Lynch Pierce Fenner an

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Victor T. Nostas, Claimant Vs. First Allied Securities, Inc. Respondent. Case Number: 01-00099 Hearing Site: Denver, Colorado REPRESENTATION OF PARTIES Claimant, Victor T. Nostas, ("Nostas") represented himself. Respondent, First Allied Securities, Inc. ("First Allied") was represented by Robert Moses, Esquire and Marion J. Vomhoff, Esquire in house attorne

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward and Georgia Paskel (Claimants) v. McDonald Investments Inc., and Mark Morena (Respondents) Case Number: 04-03570 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Edward Paskel and Georgia Paskel hereinafter collectively referred to as "Claimants": James P. Graven, Esq., of the Law

Award NASD Dispute Resolution In the Matter of the Arbitration Between: State Street Bank & Trust Co., as Custodian for Albert Snyder IRA (Claimant) vs. American Skandia Marketing Company, Inc., Wachovia Securities, LLC, Prudential Equity Group, LLC, Pruco Securities, LLC, Prudential Investment Management Services, LLC, Main Street Management Company and, Mark Flaherty (Respondents) Case Number: 04-03569 Hearing Site: Buffalo, New York. Nature of the Di