Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Names of Claimants: Richard Jaszczak and National Systems Case No: 00-00443 Names of Respondents: Global Financial Group, Inc., Steven C. Staltare, Kevin D. Renert, Jonathan T. Thau and Southwest Securities, Inc. Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Richard Jaszczak ("RJ") and National Systems ("National"), hereinafter referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between; John K. Koppelman and Ema Salas Koppelman JTWROS, and Ema Salas Koppeknan SSB Roth Spousal IRA Custodian, Claimants v. Citigroup Global Markets Inc. f.k.a. Salomon Smith Barney Inc., Respondent Case Number: 03-01062 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Anthony A. Liberatore, Esq. Liberatore

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harold Allen, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Hiep V. Phan, Bryan A. Duckett, Joseph B. Yu, Frank S. Piotrkowski, and Charles R. Hartman, Respondents Case Number: 03-01060 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member, Associated Persons, and Non-Member REPRESENTATION OF PARTIES For Claimant: Steven B. Leha

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark Elliot Schlanger, individually, and on behalf of the Martin Schlanger IRRE Trust #1 U/A'D 6/11/90, Mark E, Schlanger, TTEE, Mark Schlanger Cust for Lee Erik Schlanger UTMA/FL, and The Martin Motor Sales, Inc. Trust FBO Anthony Chianese DTD 2/18/97, Mark Schlanger, TTEE (Claimants) v. Morgan Stanley DW, Inc. and William Richard Fox (Respondents) Case Number: 03-01059 Hear

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Ali Daher (Claimant) v. Deutsche Bank Securities (Respondent) Case Number: 03-01053 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant Dr. Ali Daher ("Daher") hereinafter referred to as "Claimant": Anthony J. Horn, Esq., New York, NY. Respondent Deutsche Bank Securities ("DBS") hereinafter referred to as "Respondent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01051 David A. Tuch, IRA and Barbara L. Tuch, IRA, Claimants vs. David Mitchell, Dana Teculver, and Fidelity Brokerage Services LLC, Respondents. ATTORNEYS: Claimants, David A. Tuch and Barbara L. Tuch ("Claimants") appeared pro se., Oconomowoc, WI. Respondents, David Mitchell, Dana Teculver, and Fidelity Brokerage Services LLC., (collectively "Respondents) appeared through their in-hous

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lydia McConnell (Claimant) v. Prudential Securities, Inc. n/k/a Prudential Equity Group, Inc. and Richard Siderowf (Respondents) Case Number: 03-01048 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Lydia McConnell ("McConnell") hereinafter referred to as "Claimant": Juris V. Zauls, Esq., Grays

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01047 Gerard J. Pobuda and Sandra J. Westerman, Claimants vs. Harisdirect a/k/a Harris Investor Services LLC, Respondent. ATTORNEYS: Claimants, Gerard J. Pobuda and Sandra J. Westerman, ("Claimants") appeared Pro Se., Port Oregon, OR. Respondent, Harisdirect a/k/a Harris Investor Services LLC, ("Respondent") appeared through their in-house counsel, Craig Gingold, Jersey City, NJ. DAT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Julie Hueth (Claimant) v. A.G. Edwards & Sons, Inc. and James W. Ireland (Respondents) Case Number: 03-01046 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Julie Hueth ("Hueth") hereinafter referred to as "Claimant": Chad N. Cagan, Esq., Sonnenblick, Parker & Selvers, P.C., Freehold, NJ. Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Louis V. Imundo, Louis V. Imundo IRA, Louis V. Imundo Money Purchase Plan, Louis V. Imundo Profit Sharing Plan, Marc R. Imundo, Marc R. Imundo Defined Benefit Plan, and Mark R. Imundo RRA (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 03-01044 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES