N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES, DEALERS In the Matter of the Arbitration Between Name of Claimants Jane Gale Tony and Lorraine Sherman Mona and David Montonaro Consolidated No.3: 91-00611; 91-00654; 91-00712 ^^pmg of Pganondents Mutual Service Corporation' John M. Culbercson RBPRBSEMTATION OF PARTIES For Clairaants: Steve Samson, Esq., Chicago, Illinois. For Respondent Mutual Service Corporation: Robert: J. J

o N.A.S.I}. imsD mncnxL AssoczKncH OP sEOJumss DEAZ£SS, mo. In t±e VSatter of tbe Arbitxatlcn Betueea. BcMn NBlsai, Aldo H. & Bdlaa C. Nalsoi aad Bazel M. Baspe n a^TTcrr^t•g o V. landed Securities V. KIT aw case #91-00782 Jteazd EdMln Nelscci v. Securlt:lea #91-00868 J^MBXd Aldo E. & Edlzia C. Helsca V. "rjKfv^^ Secairltles V. Allan Bappe case #91-01100 JtMaxd V. Zsodad Securitiles o

stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Peter A. Monl^ewicz & Christina IVIonkewicz, JTWROS Case Number 02-06857 Chicago, Illinois and Name of the Respondents Donaldson, Lufkin & Jenrette Securities Corporation, Credit Suisse First Boston Corporation, Michael Vance Noble and Matson Forrest Schwalm Name of the Claimant Consolidated with: Michael J. DeNunzio Case Numbe

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Peter A. Monkewicz & Christina Monkewicz, JTWROS Case Number 02-06857 Chicago, Illinois and Name of the Respondents Donaldson, Lufkin & Jenrette Securities Corporation, Credit Suisse First Boston Corporation, Michael Vance Noble and Matson Forrest Schwalm Name of the Claimant Consolidated with: Michael J. DeNunzio Case Number

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Peter A. Monkewicz & Christina Monkewicz, JTWROS Case Number 02-06857 Chicago, Illinois and Name of the Respondents Donaldson, Lufkin & Jenrette Securities Corporation, Credit Suisse First Boston Corporation, Michael Vance Noble and Matson Forrest Schwalm Name of the Claimant Consolidated with: Michael J. DeNunzio Case Number

Award NASD Dispute Resolution In the Matter of the Arbifration Between: Glenda Hughes, Claimant v. Morgan Stanley DW Inc. and Glenn A. Howard, Respondents Case Number: 02-06581 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES For Claimant: David F. Rees, Esq. Stoll, Stoll, Berne, Lokting & Shlachter Portland, Oregon For Respondents: B. Scott Whipple, Esq Schwabe,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: RajpalBandarapalli 03-00981 John Keith Parmley Scottrade, Inc. Hffgring Ri'tft- Dallas, Texas TVATTTpynir Customer v. Member and Associated Person FFiFRFSFNT ATTON OF ?ARTTF,.S Claimant Rajpal Bandarapalli, hereinafter referred to as "Claimant": Appeared pro se. Respondents John Keith Parmley ("Parmley") and Scottrade, Inc. ("Scottrade"), hereinafter collectively refer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Case # 02-06967 Steven Maass (Clainriant) vs. Tradespape Corp., IVIomentum Securities, LLC, James H. Lee, Sharif IVi. Amanat, and Omar S. Amanat (Respondents) consolidated with Case #03-01763 Steven Maass (Claimant) vs. E*Trade Professional Trading, LLC (Respondent) Case Number: 02-06967 Hearing Site: New York, New York (consolidated with 03-01763) Nature of the Dispute

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Richard Schwab and Susan Schwab and Case Number: 02-03819 Hearing Site: Troy, Michigan Names of Respondents Morgan Stanley Dean Witter, Dean Witter Reynolds, Inc. Morgan Stanley Dean Witter & Co. Morgan Stanley DW, Inc., Morgan Stanley Dean Witter Advisors, Inc., Vincent M. Deni, and Deni Financial Management, LLC REPRESENTATION OF PARTI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Dennis D. Brooks Barbara Brooks NamRR nf the RpispnndRnts Ferris, Baker Watts, Inc. Joseph L. Owen rase Niimhpr! 02-07120 (Master Case) Hflaring Site: Charlotte, NC In the Matter of the Arbitration Between: Name nf the Claimant Dennis D. Brooks rase Niimhpr: 03-07730 (Subordinate Case) NamftR nf ihe. Rp.spnnHpnts Scott & Str