Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01477 Prime Charter LTD. Name of the Respondent Hearing Site: Boca Raton, Florida Joseph S. Truman Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Prime Charter LTD. ("Prime Charter"), hereinafter referred to as "Claimant": Evelyn Bukchin, Esq., Prime Charter LTD., New York, New York. Joseph S. Truma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Kelly V. Pulliam Name of the Respondent Lombard Securities Incorporated Nature of the Dispute: Associated Person vs. Member Case Number: 03-01472 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For Kelly V. Pulliam, referred to as "Claimant": Austin N. Aaronson, Esq., Aaronson, Austin, P.A., Winter Park, Florida. For Lombard Securiti

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01470 Rita Conroy Name of the Respondent Hearing Site: Boca Raton, Florida Paul J. Vladem Nature of the Dispute: Customer v. Associated Person. REPRESENTATION OF PARTIES For Rita Conroy, hereinafter referred to as "Claimant": Scott L. Silver, Esq. and Randall C. Place, Esq., Blum Silver & Schwartz, LLP, Plantation, Florida.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01467 Stephen R. Cigainero, individually, and as Beneficiary of the Rollover IRA of Stephen R. Cigainero, and The Roth IRA of Stephen R. Cigainero Names of the Respondents Hearing Site: Atlanta, Georgia PFS Investments, Inc. Stephen R. Martiny Nature of the Dispute: Customer vs. Member and Associated Person. REPRESE

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Ardith D. Steele Name of the Respondents Cardinal Capital Management, Inc. Christopher A. Sweeney Hershel F. Smith Case Number: 03-01466 Hearing Site: Boca Raton, Florida Nature of the Dispute: Associated Person vs. Member Firm and Associated Person. REPRESENTATION OF PARTIES For Ardith D. Steele ("Steele"), hereinafter referred to

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04465 Frank L. and Cheryl Gaunt, Claimants vs. Barren Chase Securities and Dmitry Gorodetsky, Respondents. ATTORNEYS: Claimants, appeared Pro Se, South San Francisco, California. Respondent, Dmitry Gorodetsky appeared Pro Se, Chicago, IL. Respondent Barron Chase Securities did not respond to the Statement of Claim. DATE FILED: October 6, 2000 CASE SUMMARY: Claimant alleged that

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01465 Andrea Mannino Josephine Mannino Name of the Respondent Hearing Site: Tampa, Florida 21 st Century Financial Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Andrea Mannino and Josephine Mannino, hereinafter collectively referred to as "Claimants": William J. Schifino,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01464 Yvette B. Moore William E. Moore, Jr. Name of the Respondent Hearing Site: Atlanta, Georgia Merrill Lynch Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Yvette B. Moore and William E. Moore, Jr., hereinafter collectively referred to as "Claimants": William E. Moore, Jr. For Merrill Lynch, hereina

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald R. Askew and Jackie M. Askew, Claimants v. Morgan Stanley DW Inc., Grant R. Stephens, and Fred J. Borzoni, Respondents Case Number: 03-01462 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Irving M. Einhorn, Esq. Law Offices of Irving M. Einhorn Manhattan Beach, Califor

Award NASD Dispute Resolution RECEIVED MSiHAR~q A ft In the Matter of the Arbitration Between: ?!_ Nora McHale, Claimant v. Cal Fed Investments, Respondent Case Number: 03-01461 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Claimant: Brett A. Alcala, Esq. Alcala Law Firm San Mateo, California For Respondent: David Gorfinkel Citicorp Investment Services Long Island Cit