Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the r.lnimant flase Numhet" 04-02966 Harash D. Vashishat Names nf theRespnnHenfg Hearing Site 1 Washington, DC Arif Ahmed Paul Moulden Nature of the Dispute: Customer vs. Associated Persons. RFPRFSFNTATTON OF PARTTRS Claimant, Harash Vashishat, hereinafter referred to as "Claimant", was represented by Daniel T. Wright, Esq., Attorney at Law, Rockville, Ma

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Wendell E. Bennett and Diane Bennett (Claimants) v. Charles Schwab & Company Inc. (Respondent). Case Number: 01-00053 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants, Wendell E. Bennett and Diane Bennett, collectively referred to as "Claimants" represented themselves. Respondent, Charles Schwab & Company, Inc. hereinafter referred to as ("Charles S

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02958 Robert Bruce Harris, Claimant v. Michael Joseph Pierce HI, Respondent ATTORNEYS: Claimant, Robert Bruce Harris ("Claimant"), appeared pro se, New York, NY. For Respondent, Michael Joseph Pierce HI, ("Respondent"), appeared Brian S. Hamburger, Esq., of the Hamburger Law Firm, Teaneck, NJ. NATURE OF DISPUTE: Associated Person v. Associate Person. DATE FILED: April 21, 2004. CASE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ftgnf the Claimants CflSfi NlltTlher: 04-02957 William and Wanda Davis Names nf the Respondents Hearing Site- Pittsburgh, PA Howard P. Bernstein Prudential Securities, Inc. n/k/a Prudential Equity Group, LLC Nature of the Dispute: Customers vs. Associated Person and Member RFPRFSF.NTATTON OF PARTIES Claimants, William and Wanda Davis, hereinafter collectively referred to

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Milano Investments, Ltd. and Case Number: 04-02955 Hearing Site: Houston, Texas Name of Respondent CIBC World Markets Corp. NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Milano Investments, Ltd. ("Claimant") was represented by Robert E. Lapin, Esq., Lapin & Landa, LLP, Houston, Texas. CIBC World Markets Corp. ("CIBC") was

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants David A. Paschall and Stephen Paschall, as the Beneficiaries of the John P. Paschall Trust, David A. Paschall, as Independent Executor of the Estate of Betty Paschall, David Paschall, Individually and Mary F. Paschall Case Number: 04-02953 vs. Hearing Site: Houston, Texas Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Michael and Mary Kim Thomas, Claimants, v. Prudential Securities, Inc. n/k/a/ Prudential Equity Group, LLC, Respondents. Case Number: 04-02951 Hearing Site: Indianapolis, Indiana Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Michael and Mary Kim Thomas (the "Thomases"), hereinafter collectively referred to as "Claimants": Keith L. Griff

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-02950 William L. Jennings Name of the Respondents Hearing Site: Dallas, Texas Citigroup Global Markets, Inc.; Jack B. Grubman; and, Citigroup, Inc. NATURE OF THE DISPUTE Customer vs. Member Firm, Associated Person and Non-Member Firm REPRESENTATION OF PARTIES Claimant William L. Jennings, hereinafter referred to as "Claimant": H.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02949 Kent R. Sward, Claimant v, Rodney and Elizabeth Goldberg, Respondents. ATTORNEYS: For Claimant, Kent R. Sward, ("Claimant"), appeared Amy B. Jones, Esq., of the firm Garvey Schubert Barer, New York, NY. Respondents, Rodney and Elizabeth Goldberg, ("Respondents"), did not submit a response to the Statement of Claim. NATURE OF DISPUTE: Associated Person v. Customers. DATE FILED

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-02948 Ralph H. Steinbarth Name of the Respondents Hearing Site: Chicago, Illinois UBS Financial Services, Inc., and William C. Steber NATURE OF THE DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Mark R. Valley, Esq., Statland & Valley located in Chicago, Illinois represented Claimant Ralph H. Steinbart