AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant George Beeson and Respondent Prudential Equity Group, Inc. f/k/a Prudential Securities, Inc. Case Number: 04-01169 Hearing Site: Chicago, Illinois NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES George Beeson, ("Claimant"), was represented by James J. Eccleston, Esq., of Shaheen, Novoselsky, Staat, Filipowski & Eccleston, P.C., loca

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Virginia L. Bratton vs. 04-01166 Oklahoma City, Oklahoma Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Michael J. Couch, and Walter H. Johnson NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES Virginia L. Bratton ("Claimant") was represented by was represented by Rohit C. Sharma,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Michael A. De Luca, MD, IRA account Julie A. De Luca and Michael De Luca, tenants by the entirety, Julie De Luca TOD M.J.M.C. & L.A. De Luca and De Luca, LTD., Julie De Luca, IRA account Names of the Respondents Smith Barney Citigroup Dianne Lerner Case Number: 04-01163 Hearing Site: Boca Raton, Florida Nature of the Dispute

STIPULATED AWARD NASD Dispute Resolution in the Matter of the Arbitration Between Names of Claimants James W. Prag and A. Margaret Prag and Names of Respondents Equable Securities Corporation and Patrick A. Schultz Case Number: 04-01159 Hearing Site: Nashville, Tennessee NATURE OF CASE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants, James W. Prag and A. Margaret Prag, were represented by E. Jer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fimat USA, Inc. (Claimant) v. Pro-Vest Capital Corp. and George Fontanills (Respondents) Case Number: 04-01158 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customers. REPRESENTATION OF PARTIES Claimant Fimat USA, Inc. hereinafter referred to as "Claimant": Hank L. Goldsmith, Esq., Proskauer Rose, LLP, New York, NY. Respondents Pro-Vest Capital Corp. ("Pro-V

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Brian W. Foster, (Claimant) vs. Prudential Securities Incorporated and Mark S. Hayek, (Respondents) Case Number: 00-05662 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Brian W. Foster, hereinafter referred to as "Claimant": Andrew D. Epstein, Esq., Barker, Epstein & Loscocco, Boston, MA. Respondents, Prudential Securities Incorporated ("PSI") and

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Joseph M. Vitale Case Number: 04-01143 Names of the Respondents Citigroup Global Markers, hie. f/k/a Salomon Smith Barney, Inc., Andrew Guzzetti, and Lawrence Liebman Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Joseph M. Vitale ("

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Ginzton and Linda Gintzon, David Ginzton Studio, LTD PSP, and Edward L. Ginzton Exempt Trust, Claimants v. D.A. Davidson & Co., Davidson Companies, and Thomas L. Gibson, Respondents Case Number: 04-01142 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Michael J. Hines, E

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scott A. Maltz, Susan J. Maltz, Scott and Susan Maltz Trust Dated 7/16/96, and Maltz Associates, L.P., Claimants v. Padraig McBrien (erroneously sued as Patrick McBrien), Scott Evan Zelnick, and Lehman Brothers Inc., Respondents Case Number: 04-01140 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF

r Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kevin T. McGuire (Claimant) v. HSBC Brokerage (USA) Inc. (Respondent) Case Number: 04-01137 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Kevin T. McGuire ("McGuire") hereinafter referred to as "Claimant" appeared pro se. Respondent HSBC Brokerage (USA), Inc. ("HSBC") hereinafter referred to as "Respond