Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between JAMES L. MAY, Individually and as Trustee of the JAMES MAY TRUST and MARY AILEEN MAY, Individually and as Trustee of the MARY AILEEN MAY TRUST, Claimants - against- Case No. 00-005582 JEFFREY S. SWARTZ and MATTHEW MALONEY, Respondents, Counter-Claimants, and Third-Party Claimants -against- DANIEL MAY, Third-Party Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-00441 Terry L. Jenkins Sheila Rena Jenkins Names of the Respondents Hearing Site: Memphis, TN A.G. Edwards & Sons, Inc. Hance W. McKenzie Nature of the Dispute; Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Terry L. Jenkins and Sheila Rena Jenkins, hereinafter collectively referred to as "Claimants": C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James and Cynthia Giancola v. Anthony Arcuri, Prudential Equity Group, Inc. and Wachovia Securities, LLC Case Number: 04-00439 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants, James and Cynthia Giancola ("Giancolas") hereinafter referred to as "Claimants": Marcia Adelson, Esq., T

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul Kane and Douglas Chin, Claimants V. Frank Pantina and Teresa Pantina, Respondent Case Number: 04-00414 REPRESENTATION OF PARTIES Claimants, Paul Kane and Douglas Chin, hereinafter collectively referred to as "Claimants" appeared through Matthew C. Plant, Esq., of the firm Bressler, Amery & Ross, P.C., New York, New York Respondent, Frank Pantina and Teresa Pantin

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00413 Neal Steinhauer IRA, Claimant vs. Marc Lowlicht and Charles Lowlicht, Respondents ATTORNEYS: " ' " " " Claimant Neal Steinhauer IRA, hereinafter referred to as "Claimant", appeared pro se, New York, NY. Respondent Marc Lowlicht ("M. Lowlicht") appeared pro se, East Hampton, NY. Respondent Charles Lowlicht ("C. Lowlicht") appeared pro se, Palm Beach Gardens, FL. M. Lowlicht and C. L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven Greer, MD (Claimant) v. Charles Schwab & Co., Inc. (Respondent) Case Number: 04-00408 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant Steven Greer, MD ("Greer") hereinafter referred to as "Claimant" appeared pro se. Respondent Charles Schwab & Co., Inc. ("Charles Schwab") hereinafter referred to as "Respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ft nf tne Claimant Case Number: 04-00405 Eva E. Hasher nf the Respondent Hearing Site 1 Philadelphia, Pennsylvania Greater Metropolitan Investment Services Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Eva E. Hasher, hereinafter referred to as "Claimant", was represented by Jeffrey D. Horn, Esq., Attorney at Law, Williamstown, New Je

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00403 Mary C. Maniscalco and Richard A. Maniscalco, JTWROS, Claimants v. Citigroup Global Markets, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimants Mary C. Maniscalco and Richard A. Maniscalco, JTWROS (collectively "Claimants") appeared Marshall P. Richer, Esq., of the firm Finkelstein & Partners, Albany, NY. For Respondents Citigroup Global Markets, Inc. and Jack B. Grubman (c

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nina Frankel (Claimant) v. Carillon Investments, Inc. and Scott V. Payden (Respondents) Case Number: 04-00399 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Nina Frankel ("Frankel") hereinafter referred to as "Claimant": Jonathan E. Rosenbaum, Esq., Elyria, OH. Respondents Carillon Investments, I

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Anthony Spina, (Claimant) vs. Schroder & Co., Inc. n/k/a BNY Clearing Services LLC, Dupont Securities Group, Inc., Stanislov Kaminsky, and David Parsons, (Respondents) Case Number: 00-05580 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Anthony Spina, hereinafter referred to as "Claimant": Brian J. Neville, Esq., Law Offices of Brian J. Neville, P.C., New