Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert C. Alspaugh and Betty J. Alspaugh, Trustees, The Alspaugh Family Trust dtd 8/18/93, Claimants v. Morgan Stanley DW Inc. and Steven A. Samet, Respondents Case Number: 04-01343 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: William S. Bonnheim, Esq. William S. Bonnheim, PLC Pa

AWARD NASP Dispute Resolution, Inc. In the Matter of the Arbitration Between UBS PaineWebber, Inc. and 00-05680 Southfield, Michigan Mark A. Stegeman REPRESENTATION OF PARTIES UBS PaineWebber, Inc. ("Claimant") was represented by Joel E. Davidson, Esq., Law Offices of Joel E. Davidson, Esq., Park Ridge, New Jersey. Mark A. Stegeman ("Respondent") was represented by John J. McHugh, III, Esq., McHugh, DeNune & McCarthy, Ltd., Sylvania, Ohio,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants James and Mary Perry and Respondents J.C. Bradford & Co., n/k/a UBS Financial Services Inc., Edwin Patrick Miller and Joseph Troy Schmeing Case Number: 04-01329 Hearing Site: Louisville, Kentucky NATURE OF CASE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES James and Mary Perry ("Claimants") were represented b

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01283 Joyce Hyers Names of the Respondents Hearing Site: Atlanta, Georgia Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc Carol Ann Hanlon Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joyce Hyers, hereinafter referred to as "Claimant": Pat H. Huddleston, n, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Menachem Kohl and Elyse Kohl (Claimants) v. Prudential Equity Group, LLC #k/a Prudential Securities, Inc. (Respondent) Case Number: 04-01282 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimant Menachem Kohl ("M. Kohl") and Elyse Kohl ("E. Kohl") hereinafter collectively referred to as "Claimants": Mel Urbach, Esq., Law

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susannah Jonas and Susannah Jonas IRA (Claimants) vs. Deutsche Bank Securities (Respondent) Case Number: 04-01278 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Susannah Jonas ("Jonas") and Susannah Jonas IRA ("Jonas IRA") hereinafter collectively referred to as "Claimants": John E. Sutherland, Esq., and An

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vivion S. Kearney, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Pawel Szott, and Joseph J. McLaughlin, Respondents Case Number: 04-01277 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Grenville Pridham, Esq. Law Offices of Grenville Pridham Las Vegas, Nevada

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Douglas and Lori Grohs, Claimants v. Eric W. Anderson and Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Respondents Case Number: 04-01273 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: For Respondents: Lawrence R. Cock, Esq. Fredrick Huebner, Esq. Cable, Langenbach,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01267 Robert L. Sengpiel Trust, Claimant v. NatCity Investments, Inc. and Van Kampen American Capital, Respondents ATTORNEYS: Claimant Robert L. Sengpiel Trust ("Claimant") appeared pro se through Robert L. Sengpiel, Bloomington, IL. For Respondent NatCity Investments, Inc. appeared William P. Larkrnan, Esq., in-house counsel, NatCity Investments, Inc., Cleveland, OH. For Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Yossef Kahlon (Claimant) v. VFinance Investments, Inc. and Marc Siegel (Respondents) Case Number: 04-01266 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Yossef Kahlon ("Kahlon") hereinafter referred to as "Claimant": Benjamin Lapin, Stock Market Recovery Consultants, Inc., Brooklyn, NY. Respon