Ofl/06/01 THU 11:14 FAX NASD REGULATION Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities Inc, (Claimant) v. Jon Letang and Pierre: Kontani (Respondents). Case Number: QQ-QQ577/ 00-00582 Hearing Site: Houston, Texas. Claimant First Union Securities, Inc. ("First Union") was represented by Diane C. Fischer, Esq., of the firm Katie & Fischer, Ltd. located in Chicago, Illinois. , : Respondent Jon L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the? Claimants Case Number 04-03229 Shirley Rucker and April Dixon Name of thff Respondents Hearing Site- St. Louis, Missouri Merrill Lynch, Pierce, Fenner& Smith, Inc. and Edward D. Jones & Co. QF DISPUTE Customers vs. Member Firms Shirley Rucker ("Rucker") and April Dixon ("Dixon"), hereinafter referred to as Claimants, appeared pro se in this matter. David

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03228 Cynthia Goldsmith & Phyllis H. Arnold, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: For Claimants, Cynthia Goldsmith & Phyllis H. Arnold, ("Claimants"), appeared Joel Finkelstein, Esq., of the firm Finkelstein & Partners, Newburgh, NY. Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronnie Moas (Claimant) v. Ehrenkrantz King Nussbaum, Inc., Anthony Ottimo, Thomas Giugliano, Robert Bursky, and Michael Berlin (Respondents) Case Number: 04-03227 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Ronnie Moas ("Moas") hereinafter referred to as "Claimant" appeared pro se.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bennett E. Roth (Claimant) v. Citigroup Global Markets, Inc. and Michael Engle Peacock (Respondents) Case Number: 04-03225 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Bennett E. Roth ("Roth") hereinafter referred to as "Claimant": Alan P. Fraade, Esq., Mintz & Fraade, P.C., New York, NY.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Gary H. Meyer and Case Number: 04-03206 Hearing Site: Houston, Texas Names of Respondents Prudential Equity Group, LLC, and Robert G, Florance NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Gary H. Meyer ("Claimant") was represented by Robert E. Lapin, Esq., Lapin & Landa, LLP, Houston, Texas. Pru

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03204 First Montauk Securities, Corp., Claimant v. Stefano Mannino, Respondent ATTORNEYS: For Claimant First Montauk Securities Corp. ("Claimant") appeared Michael S. Colombo, President, Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent Stefano Mannino ("Respondent") appeared pro se, Brooklyn, NY. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: April 30, 2004.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mathew Kaufman (Claimant) v. Prudential Equity Group, LLC and Anthony Cappiello (Respondents) Case Number: 04-03202 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Mathew Kaufman hereinafter referred to as "Claimant": Vincent J. Imbesi, Esq., Avelino & Associates, P.C., New York, NY. Respon

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Maher Mobasher (Claimant) v. Merill Lynch, Pierce, Fenner & Smith, Inc., and Hani Atassi (Respondents) Case Number: 04-03200 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Dr. Maher Mobasher ("Claimant") appeared pro-se. Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Me

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03198 David Greenhouse, Claimant v. Prudential Equity Group, LLC file/a Prudential Securities, lac., Respondent ATTORNEYS: Claimant David Greenhouse C'Claimanr") appeared pro se, Rye, NY- For Respondent Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. ("Respondent") appeared Martia L. Williams, Esq., in-house counsel, Prudential Equity Group, LLC, New York, NY. NATURE O