Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Karen and Dean Bedgar, (Claimants) vs. Raymond M. Brown, Joan Brown, and Princeton Equity Securities, Inc., (Respondents) Case Number: 00-05641 Hearing Site: Albany, New York REPRESENTATION OF PARTIES Claimants, Karen Bedgar ("K. Bedgar") and Dean Bedgar ("D. Bedgar"), hereinafter collectively referred to as "Claimants": Stuart E. Finer, Esq., a sole practitioner, Utica, NY.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE.-00-00562 Chester J. Derek & Helen D. Derek, claimant vs. Prudential Securities, Inc., respondent. ATTORNEYS: Claimants appeared Pro Se., Saginaw, ML For Respondent appeared in-house counsel, Darleen Monaco, Esq., New York, NY. DATE FILED: February 8, 2000 CASE SUMMARY: Claimant alleged that respondent churned his account through the purchase and sale of RJR Nabisco Pref. C stock. Clai

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00928 The Schurman Company, Claimant v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant The Schurman Company, ("Claimant"), appeared Marshall P. Richer, Esq., Finkelstein & Partners, Albany, NY. For Respondents, Citigroup Global Markets, Inc f7k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("Respondents"), appe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00927 Sherryl Diane Griffin Names of the Respondents Hearing Site: Atlanta, Georgia ING Financial Partners, Inc. as successor to Washington Square Securities (CRD No. 2882), and Bobby Dean Anderson (CRD No. 4819) Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sherryl Diane G

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the dai John Buchanan Name nf the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. rase Number- 04-00925 Hearing Site- Richmond, Virginia Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, John Buchanan, hereinafter referred to as "Claimant", was represented by David R. Simonsen, Jr., Esq., Richmond, Virginia. Respondent

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Karl and Penelope Kucab and Names of Respondents Ogilvie Security Advisors Corp. Joseph A. Spoerl Joseph A. Spoerl L.L.C. d/b/a Improved Funding Techniques-Michigan Source Brokerage, Inc., and First Trust Corporation d/b/a Retirement Accounts, Inc. Case Number: 04-00922 Hearing Site: Detroit, Michigan NATURE OF CASE Cu

V 1 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Medical Assets LLC and David B. Arnold (Claimants) v. Emmett A. Larkin Company, Inc. (Respondent) Case Number: 04-00920 Hearing Site: New York City, New York Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES Claimants Medical Assets LLC ("Medical Assets") and David B. Arnold ("Arnold") hereinafter collectively referred to as "Claimants": James E. N

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald T. Mesagna (Claimant) v. A.G. Edwards & Sons, Inc. and Eugene D'Amico (Respondents) Case Number: 04-00918 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Ronald T. Mesagna ("Mesagna") hereinafter referred to as "Claimant": Stuart E. Finer, Esq., Finer & Giruzzi-Mosca, Utica, NY. Respon

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald L. Magruder and Roberta T. Magruder, Individually and as Trustees of the Magruder Family Trust, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Matthew N. Morrison, Respondents Case Number: 04-00917 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: William S

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lottie-Jane Strachan, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Sandra U. Torres, Respondents Case Number: 04-00916 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: William S. Bonnheim, Esq. WilHam S. Bonnheim, PLC Pahn Desert, California For Respondent