NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-09038 Olivia Rodgers & Dean S. Rodgers CMA, Olivia Rodgers c/f Chelsie Marie Rodgers CMA, Dean Scott Rodgers Roth IRA, Olivia Rodgers Roth IRA, and Olivia M. Rodgers c/f Courtney A. Rodgers CMA, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimants, Olivia Rodgers & Dean S. Rodgers CMA, Olivia Rodgers c/f Chelsie Marie Rodgers CMA, Dean Scott Rodgers

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alan Rajlevsky, (Claimant) vs. Spencer-Winston Securities Corp. and Ray Volpe, (Respondents) Case Number: 00-01723 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Alan Rajlevsky, hereinafter referred to as "Claimant": Benedict L. Sliney, Esq., Leventhal and Sliney, LLP, Mineola, NY. Respondent, Spencer-Winston Securities Corp. ("Spencer"): Oscar Echman, Pr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Jenne M. Stratta, individually and as Trustee of the Jenne M. Stratta IRA and the Jeanne M. Stratta Revocable Living Trust; Jeanne M. Stratta IRA; and Jeanne M. Stratta Revocable Living Trust Name of the Respondent Morgan Stanley DW, Inc. Case Number: 03-09035 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward Henry Schoenberger (Claimant) v. James Harold Goode, Jr. (Firm) and James Harold Goode, Jr. (Respondents) Case Number: 03-09033 Hearing Site: Cleveland, Ohio Nature of the Dispute: Associated Person v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Edward Henry Schoenberger ("Schoenberger") hereinafter referred to as "Claimant" appeared pro se. Respo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-09032 J.P. Morgan Securities, Inc., Claimant v. Roy Swan, Jr., Respondent. ATTORNEYS: Claimant, J.P. Morgan Securities, Inc., ("Claimant"), appeared through their in-house counsel, Stephanie E. Sowell, Esq., New York, NY. Respondent, Roy Swan, Jr., ("Respondent"), appeared pro se, New York, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: December 22, 2003 CASE SUMMARY

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anna Marie Pestello (Claimant) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. and Joseph Campanella (Respondents) Case Number: 03-09026 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Anna Marie Pestello hereinafter referred to as "Claimant": Thomas C. Wagner, Esq., Van Deusen &

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: CAPROCK ENTERTAINMENT, INC., . Claimant, v. iNASD-DRNo.: 03-09021 CADARET GRANT & CO., INC. Hearing Location: Dallas, Texas and GARRY KIRKLAND, Respondents NATURE OF THE DISPUTE Public Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant Caprock Entertainment, Inc., was represented by Wayne Schwartz, Esq. of Blum,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Stifel, Nicolaus & Company, Inc. Case Number: 03-09018 Name of the Respondent Nancy Dombrowski Hearing Site: Chicago, Illinois NATURE OF THE DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Peter R. Sonderby, Esq., with law offices located in Chicago, Illinois, represented Claimants Stifel, Nicolaus & Goinpany, Inc., (St

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anna Stanislowski and Edward Stanislowski, Claimants v. Salomon Smith Barney Inc. (n/k/a Citigroup Global Markets Inc.), Scott Paine, and Yoram Shay, Respondents Case Number: 03-09012 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: James Jay Seltzer, Esq. Michael Harring

Stipulated Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Larry Switzer, Claimant v. Merrill Lynch, Pierce, Fenner and Smith, Inc., Michael T. Dunn, Barry Zuckerman, Morgan Stanley DW, Inc. and Joseph G. Metcalf, Respondents Case Number: 03-09011 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES For Claimant: For Respondents Merri