Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert E. Ravenscroft, Claimant v. Dennis Fitz Dixon, Simmons & Bishop Co., foe., Evelyn Kottle Simmons, Kory Robert Kemp and Mark David Hovland, Respondents. Case Number: 00-04129 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES For Claimants: Howard M. Hoffman, Esq. 8880 Cal Center Drive Suite 165 Sacramento, CA 95826 For Respondents: Jeanne M. Rowzee, E

0.1-/07/2004 13:13 FAX NASD H002/OQ5 AWARD NASD Dispute Resolution In the Matter of the Arbitration Between RBC DAIN RAUSCHER, INC., NASD Case NO. oiweeos Claimant/Counter Respondent, and JAYICE PEARSON, Hearing Site: Kansas City, Missouri Respondent/Counter Claimant REPRESENTATION OF PARTIES Claimant/Counter Respondent RBC Dain Rauscher, Inc. ('*RBC Dain Rauscher") was represented by Jonathan M. Harris and Nicole M. Siemens of Lindquist & V

Award NASD Dispute Resolution In the Matter of the Arbitration Between: . Plflimant Rajpal Bandarapalli KTnmhpr- 02-06604, COH. With 03-00981 John Keith Parmley Scottrade, Inc. inpgjjg' Dallas, Texas TVATTTRF O 1 PTTTF Customer v. Member and Associated Person PF.PttF.SF.NTATTO]tf OF PARTTFS Claimant Rajpal Bandarapalli, hereinafter referred to as "Claimant"; Appeared pro se. Respondents John Keith Parmley ("Parmley") and

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant David L. Hubbs and 02-06601 Nashville, Tennessee Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES David L. Hubbs ("Claimant") appeared pro se. Merrill Lynch Pierce Fenner & Smith Inc. ("Respondent") was represented by Avital Stadler, Esq., Sutherland, Asbill & Brennan,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants f.asp. Number- 02-06598 Victor Berger Names of the Respondents Hearing Site- Pittsburgh, PA Michael J. Condron Morgan Stanley Dean Witter, Inc. Nature of Dispute: Customer v. Associated Person and Member RFPRFSFNTATTON (W PARTIES Claimant, Victor Berger, was represented by Robert M. Kramer, Esq., Pittsburgh, PA. Respondents, Michael J. Co

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Darrell Portzen, Kathryn Portzen and Elaine Portzen And 02-06593 Milwaukee, Wisconsin Name of Respondents Peregrine Financials & Securities, Inc ABN Amro Incorporated Ellen M. Aleshire Robert E.McBride Daniel H. Brush D H Brush & Associates, Inc. Kevin J. Kowalski James L. Klotz James F. Kelly Dennis Wenmouth Kevin M. Murphy

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Marsha F. Smeltzer and Richard H. Smeltzer and Case Number: 02-06589 Hearing Site: Troy, Michigan Merrill Lynch Pierce Fenner & Smith, Inc. Christopher Johnston and Henry Blodget NATURE OF DISPUTE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Marsha F. Smeltzer and Richard H. Smeltzer ("Claimants") were represented by Mara

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nora Muhlbaum Leeds (Claimant) v. Howard Lisch Investment Services, Howard Lisch ? and Securities Service Network, Inc. (Respondents) Case Number: 02-06584 Hearing Site: New York, New York 4 Nature of the Dispute: Customer v. Non-Member, Associated Person, and Member Firm. REPRESENTATION OF PARTIES Claimant Nora Muhlbaum Leeds, hereinafter referred to as "Claimant": Eric J.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven S. Myers, as Trustee of the Steven S. Myers Revocable Trust U/A/D 12/01/00, on behalf of the Steven S. Meyers IRA, as Custodian for Jennifer Meyers, and as Custodian for Melissa Myers, Claimants v. Salomon Smith Barney n/k/a Citigroup Global Markets, Inc. and Kandy E. Quigg, Respondents Case Number: 02-06578 Hearing Site: Los Angeles, California Nature of the Dispute: Custome

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas A. Gaipa, Claimant v. Prudential Securities Incorporated, David H. Rascoe, and Eugene P. Ingargiola, Respondents Case Number: 02-06577 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Robert Scott Dreher, Esq. Dreher Law Firm San Diego, California For Respondents: Charles B. LaChaussee, Esq. Prudential Securities Incorporated San Fra