AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Gregory and Donna Schultz and Peregrine Financials & Securities, Inc., Thomas Eugene Pearson, Russell Ralph Wasendorf, Sr., and Patrick S. Jage Case Number: 04-03253 Hearing Site: Chicago, Illinois NATURE OF DISPUTE Customers v. Terminated Member Firm and Associated Persons REPRESENTATION OF PARTIES Gregory and Donna Schultz ("Claimants"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03248 Curtis S. Garth Names of the Respondents Hearing Site: New Orleans, Louisiana Bane One Securities Corporation Dean Witter Reynolds, Inc. (Morgan Stanley) Pershing, a division of Donaldson, Lufkin & Jenrette Securities Corp. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Curtis S. Garth, hereinafter referre

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Bruce Konrady Names of the Respondents FSC Securities Corporation Robert Vanderpool Case Number: 04-03243 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Bruce Konrady, hereinafter referred to as "Claimant": Alan C. Espy, Esq., Law Offices of Alan C.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mueid Dee Elias, Claimant v. Morgan Stanley DW Inc. and Wayne Guzman, Respondents Case Number: 04-03240 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy D. McGonigle, Esq. Attorney at Law Santa Monica, California For Respondent Morgan Stanley DW Inc.: Paul J. Schum

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Virginia Jensen, Claimant v. ReliaStar Life Insurance Company, WM Financial Services, Inc., and Jimi Singh Sidhu, Respondents ReliaStar Life Insurance Company, Cross-Claimant v. WM Financial Services, Inc., Cross- Respondent Case Number: 04-03237 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Non-Member, Member, and Associated Person Non-Member v. Membe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thp Claimant Paae Number- 04-03235 Julia E. Ebron "Hearing Site- Washington, D.C. Kenneth E. Labowitz, Guardian and Conservator for Eloise O'Connor Nature of the Dispute: Associated Person v. Customer. RKPHKSF.TVTATTON OF PARTIES Claimant, Julia E. Ebron, hereinafter referred to as "Claimant", was represented by Scott T. Beall, Esq., Tate, Lazarini & Beall, PLC,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rochelle Brown individually and obo her IRA and Sheldon Brown individually and obo his IRA vs. Irvin W. Rosenzweig, PNC Brokerage Corporation, Nationwide Life Insurance Company, UBS Financial Services, Inc. Case Number: 04-03234 Hearing Site: Philadelphia, PA Nature of the Dispute: Customers vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Roche

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03232 Dale E. Bartch, TTEE of Dale E. Bartch, Amended and Restated Trust Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS; For Claimant, Dale E. Bartch, TTEE of Dale E. Bartch, Amended and Restated Trust ("Claimant"), appeared Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners, Newburgh, NY. For Respondents

CASE: 04-03231 Amy A. Q'Shields, Claimant v. Deutsche Bank Securities Inc., and Harold Walton Zinser, Jr., Respondents ATTORNEYS: Claimant, Amy A. O'Shields, ("Claimant") appeared pro se, Douglasville, GA. For Respondents, Deutsche Bank Securities Inc., and Harold Walton Zinser, Jr., (collectively "Respondents") appeared Lauren Malanga Casey, Esq., of the firm Epstein, Becker & Green, P.C., New York, NY. NATURE OF DISPUTE: Associated Person vs. Member a

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Edward P. Hawkins, Claimant Vs. LCP Capital Corp. and Emanuele A. Scarso, Respondents. Case Number: 01-00074 Hearing Site: Louisville. Kentucky REPRESENTATTON OF PARTIES Claimant Edward P. Hawkins ("Hawkins") was represented by James P. McCrocklin, Esquire, Louisville, Kentucky. Respondents LCP Capital Corp. ("LCP") and Emanuele A. Scarso ("Scarso"), he