AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Securities America, Inc. and Case Number: 04-03105 Hearing Site: Omaha, Nebraska Name of Respondent Scott Jonathan McKay Wolas a/k/a Allen Lee Hengst NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Securities America, Inc. ("Claimant") was represented by Matthew J. Egrin, Esq., Edgerton & Weaver, Hermosa Beach, Califor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul R. Curran (Claimant) v. People's Securities, Inc. (Respondent) Case Number: 04-03104 Hearing Site: Hartford, Connecticut Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Paul R. Curran hereinafter referred to as "Claimant": William A. Jacobson, Esq., Law Offices of William A. Jacobson, Inc., Providence, RL Respondent People's Securitie

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03101 Patrick Diesu Names of the Respondents Hearing Site: Orlando, Florida Rocco Spaccio Sunpoint Asset Managers, Inc. d/b/a Sunpoint Asset Management, Inc. LaSalle Street Securities, L.L.C. Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES For Patrick Diesu, hereinafter referred

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Adele S. Bloom Name of the Respondent Wachovia Securities Financial Network, LLC Case Number: 04-03100 Hearing Site: Boca Raton, FL Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Adele S. Bloom ("Bloom"), hereinafter referred to as "Claimant": Steven R. Reininger, Esq., Rasco Reininger Perez & Esquenazi, P.L., Coral

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Joseph M. and Karen J. Stockhausen and 04-03093 Chicago, Illinois Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. d/b/a Smith Barney JackB. Grubman Michael Jay Grace Philip L. Spartis Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Joseph M. and Karen J. Stock

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant A.G. Edwards & Sons, Inc. Case Number: 04-03091 Name of the Respondent SG Cowen Securities Corp. Name of Third-Party Respondent Lehman Brothers, Inc. Hearing Site: St. Louis, Missouri MATIIPF OF DISPUTE Member Firm vs. Member Firms OF PARTIFft Matthew Salamon, Esq. of A.G. Edwards & Sons, Inc., located in St. Louis, Missouri, represen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf tlift Plaimgmt Pggp "Murph^r- 04-03090 Northeast National Bank n f tb ft ^f?p n T)d^nt H?arJTi3 ^it R ' Dallas, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc. OP T Customer v. Member Firm BF.PttF.CT.NTATTnN OF PAPTTFR Claimant Northeast National Bank, hereinafter referred to as "Claimant": Robert L. Tobey, Esq., of the firm of Johnston T

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Joseph W. Berlinger Blissa K. Berlinger Name of the Respondent Salomon Smith Barney Case Number: 04-03083 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Joseph W. Berlinger and Elissa K. Berlinger, hereinafter collectively referred to as "Claimants", appeared prose. For Salomon Smith

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03081 Beatrice Marks Names of the Respondents Hearing Site: Boca Raton, FL Dupont Securities, Inc. Alex Rabinovich Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Beatrice Marks ("Marks"), hereinafter referred to as "Claimant": Bruce Katzen, Esq., Kluger, Peretz, Kaplan & Berlin, P.L., M

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: ...... ' t \ Name of the Claimant Case Number: 04-03078 Brian Sidella I Names of the Respondents Hearing Site: Boca Raton, Flonda Merrill Lynch, Pierce, Fenner & Smith, Inc. Frederic Mannheimer . Anthony Kurlas Nature of trie Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Brian Sidella, hereinafter referred to as