AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants David and Mary Monk and Names of Respondents Mutual Service Corporation and Richard William Conlin Case Number: 04-03413 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES David and Mary Monk ("Claimants") were represented by Gary F. Cerasuolo, Esq., Smith & Cerasuolo,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Garda (Claimant) vs. First Union Securities a/k/a Wachovia Securities, LLC and Scott D. Luikart (Respondents) Case Number: 04-03410 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant John Garda hereinafter collectively referred to as "Claimant": James S. Jones. Esq., James S. Jones, L.P.A. Polan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: of the Claimant Ora Robertson, IRA NflmftS of thp Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. John Thomas Holland Case Nnmher: 04-03409 aring Site: Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRP,SKNTATTfiM OF PARTIES Claimant, Ora Robertson, IRA, hereinafter referred to as "Claimant", was represented by

Stipulated Award NASD Dispute Resolution In the Matter of fche Arbitration Between: , Name nf Hhc Claimant Pare Number 04-03408 James W. Coe Names nf fhp P. pspnnftents Hearing Site- Richmond, Virginia Merrill Lynch, Pierce, Fenner & Smith, Inc. John T.Holland Nature of the Dispute: Customer vs. Member and Associated Person. RFPRFSFNTATTOK OF PAPTTFS Claimant James W. Coe, hereinafter referred to as "Claimant", was represented by Shawn P. Ge

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas McAdam (Claimant) vs. David Nagel; Willis Mitchell, d/b/a Mitchell Nagel, Associates (Respondents) Case Number: 04-03407 Hearing Site: Buffalo, New York Nature of the Dispute: Associated Person vs. Associated Persons REPRESENTATION OF PARTIES Claimant Thomas McAdam ("McAdam") hereinafter referred to as "Claimant": M. David Sayid, Esq., Sayid and Associates, LLP, New York,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward W. Cochran and Anne Spoeneman a/k/a Anne S. Cochran, Trustee of the EWC Retirement Plan (Claimants) vs. Thomas A. Gallo, Gregory Gallo, Kirlin Securities, Inc., and M.S. Farrell & Co., Inc. (Respondents) Case Number: 04-03406 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers vs. Associated Persons and Member REPRESENTATION OF PARTIES Claimants Edward W. Cochr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hani Jabshen and River Investments (Claimants) v. UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc. (Respondents) Case Number: 04-03404 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Hani Jabshen ("Jabshen") and River Investments ("River") hereinafter collectively referred to as "Claimants": David B. Gordo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Chabbetay Sabbagh and Ester Sabbagh, (Claimants) vs. First Madison Securities, Inc.,,David Polushkin, Michael Roth, and Amir Sabetian, (Respondents) Case Number: 01-00091 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Chabbetay Sabbagh and Ester Sabbagh, hereinafter collectively referred to as "Claimants": Max Markus Katz, Esq., Max Markus Katz, P.C., Ne

CASE: 04-03401 William C. Rand, Claimant v. Citicorp Investment Services, Respondent ATTORNEYS: For Claimant, William C. Rand, ("Claimant"), appeared William Rand, Esq. of the firm Coudert Brothers, L.L.P., New York, NY. Respondent, Citicorp Investment Services ("Respondent"), appeared in-house counsel, David Gorfinkel, Esq., Long Island City, NY. NATURE OF DISPUTE: Customer vs. Member. DATE FILED: May 10, 2004. CASE SUMMARY: Claimant alleged that R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Annie Chin Bombard (Claimant) v. Richard Rubino, Samuel Liang, Advisory Group Equity Services, Ltd., Trust Advisory Group, Ltd., Rubin & Liang, LLC, and R & L Insurance Agency, LLC, and Stephen C. Olsson (Respondents) Case Number: 04-03390 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member, Non-Members, and Associated Persons. REPRESENTATION OF PARTIES