Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Antoinette Gleeson v. Fidelity Brokerage Services LLC and Martin Cunningham Case Number: 04-00834 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Antoinette Gleeson ("Gleeson") hereinafter referred to as "Claimant": Brian J. Neville, Esq., Law Offices of Brian J. Neville, New York, NY.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Louis Rossilli (Claimant) v. Frank Lawrence Vanore and Summit Equities, Inc. (Respondents) Case Number: 04-00830 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant Louis Rossilli ("Claimant"): Richard West, Esq., The SavageWest Law Firm, P.A., Florham Park, NJ. Respondents Frank Lawrence

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sara Drew (Claimant) v. MHA Financial Corporation and George F. Bradlau (Respondents) Case Number: 04-00827 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Sara Drew ("Drew") hereinafter referred to as "Claimant": Kevin G. Diamond, Esq., Goguen, McLaughlin, Richards & Mahaney, LLP, South Natick,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward A. Kaminsky and James Agate (Claimants) vs. Spencer Trask Securities, Inc., a/k/a Spencer Trask Ventures and Spencer Segura (Respondents) Case Number: 00-05628 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Edward A. Kaminsky ("Kaminsky") pro se and James Agate ("Agate"), Arthur G. Jakoby Esq., Herrick, Fienstein LLP, New York, NY. Hereinafter collectiv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Louis Gallotta (Claimant) v. Morgan Stanley DW, Inc. and Carol Glazer (Respondents) Case Number: 04-00824 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Louis Gallotta ("Gallotta") hereinafter referred to as "Claimant": Stuart P. Schlem, Stock Market Recovery Consultants, Inc., Brooklyn, NY. Previ

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00821 UBS Financial Services, Inc., Claimant vs. Christopher DiPenta, Respondent ATTORNEYS: " For Claimant UBS Financial Services, Inc. ("Claimant") appeared Christine Lazaro, Esq., of the firm Davidson & Grannum, LLP, Northvale, NJ. Respondent Christopher DiPenta ("Respondent") did not make an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person. ~ DATE FILED: Febru

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00819 Harris Investor Services, LLC, Claimant v. Slobodan Nikolich, Respondent ATTORNEYS: For Claimant Harris Investor Services, LLC ("Claimant") appeared Michael B. Colombo, President, Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent Slobodan Nikolich ("Respondent") appeared pro se, Citra, FL. NATURE OF DISPUTE: Member v. Customer. DATE FILED: February 9, 2004. CASE

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00818 J.P. Turner & Company, LLC, Claimant vs. Gregg Lorenzo, Respondent/Third-Party Claimant v. Rocco Guidicipietro, Third-Party Respondent ATTORNEYS: For Claimant J. P. Turner & Company, LLC ("Claimant") and Third-Party Respondent Rocco Guidicipietro ("Third-Party Respondent") appeared Lawrence A. Steckman, Esq., of the firm Lester Schwab Katz & Dwyer, LLP, New York, NY. For Respondent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00817 Samuel D. Rosen, Claimant v. Ryan Beck & Co., Respondent. ATTORNEYS: ~ ~ ~~~ Claimant, Samuel D. Rosen, ("Claimant"), appeared pro se, New York, NY. Respondent, Ryan Beck & Co., ("Respondent"), appeared through its in-house counsel Jeffrey B. Cohen, Esq., Livingston, NJ. NATURE OF DISPUTE: Customer v. Member DATE FILED: February 9, 2004 CASE SUMMARY: Claimant alleged that Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Berthel Fisher & Company Financial Services, Inc. (Claimant) v. Otto Robert Kozak (Respondent) Case Number: 04-00812 Hearing Site: New York City, New York Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Berthel Fisher & Company Financial Services, Inc. hereinafter referred to as "Claimant": Leslie D. Smith, Esq., Berthel Fisher & Company Fin