Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: George G. Touponse, Jr. (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Patrick John Murphy (Respondents) Case Number: 03-01908 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant George G. Touponse, Jr. ("Touponse") hereinafter referred to as "Claimant": John E. Lawlor, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mantis Securities, Inc. and Edward Linzer (Claimants) v. J.B. Oxford & Co. n/k/a National Clearing Corp., Jamie G. Lewis, Albert R. Laubenstein, Michael Chiodo, James Lin, and Christopher Jarrett (Respondents) Case Number: 03-01904 Hearing Site: New York, New York Nature of the Dispute: Member and Associated Person v. Member and Associated Persons. REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Martin Machala (Claimant) v. A.G. Edwards & Sons, Inc. and Stephen A. Fornarola (Respondents) Case Number: 03-01902 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant John Martin Machala ("Machala") hereinafter referred to as "Claimant" appeared pro se. Assisted by Albert Brightenfield, CPA, B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of tfr* rfo™ 3 "^ Pac^ ^nmhpr- 03-01901 Joseph L.Vanderhamm; and Gene and Charline Upshaw Brookstreet Securities Corporation; National Planning Corporation; Dana Niles Frankfort; and, James H. Simmons, Jr. Hiring SJt^' Dallas, Texas NATTTRF O TfF Public Customer v. Member Firms and Associated Persons nF - Claimants Joseph L. Vanderharnm ("Van

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thft Plaimant Pflgft Nnmher- 03-01900 The Estate of Eva Bond Site* Dallas, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc. and Gary Lee Morton TVATffTOT. OF TTTF mSPTTTF Public Customer v. Member Firm and Associated Person Claimant The Estate of Eva Bond, hereinafter referred to as "Claimant": H. Allen Pennington, Jr., Esq. of the firm of Pennington, Hill & Baker, L

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Paul and Jean-Marie Kolaric, Claimants Vs. McDonald & Company Securities, Inc., and First Union Securities, Inc., Respondents Case Number: 00-03566 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimants, Paul and Jean-Marie Kolaric ("Kolaric"), hereinafter collectively referred to as "Claimants", appeared Pro Se. Respondent, McDonald & Compan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant (Via Number: 03-01499 William D.Duvall IRA Name of the RespnnHp.nfg Hrarin£ Site- Washington, DC CffiC World Markets Corp. Raleigh Kraft Warren B. Bischoff Nature of the Dispute: Customer vs. Member and Associated Persons. RFPRRSFNTATTOTsT OF PARTIES Claimant, William D. Duvall IRA, ("Claimant"), was represented by Ron Early, Esq., Lerch, Early &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul Ehrenstein and Paul Ehrenstein Associates, Lac. (Claimants) v. Laconia Capital Corporation, Mike Franzese, and Armstrong Asset Management Group, Inc. (Respondents) Case Number: 03-01898 HearinR Site: New York, New York Nature of the Dispute: Associated Person and Non-Member v. Member, Non-Member, and Associated Person. REPRESENTATION OF PARTIES Claimants Paul Ehrenstein

Award NASD Dispute Resolution In the, Matter of the Arbitration Between: Natrift nf thft riaimflnt ' Casfi Niitnhftr- 03-01897 Novinger Group, 1 Inc. nf thft PpspnnHffntfi Hpgring Site* Philadelphia, PA Wachovia Securities, LLC Hartford Insurance, Inc. Richard Harper Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. BFPRF.SF.NTATTON OF PARTIES Claimant, Novinger Group, Inc., hereinafter referred to as "Cla

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Glen D. Anderson Names of the Respondents Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. E. John Evans Case Number: 03-01890 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Glen D. Anderson, hereinafter referred to as "Claimant": Eduardo