Award NASD Dispute Resolution In the Matter of the Arbitration Between: William Bartok (Claimant) v. Morgan Stanley DW Inc., Vaughan & Company Securities, Inc., and Murphy Capital Management, Inc. Case Number: 03-08918 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member, Non-Member. REPRESENTATION OF PARTIES Claimant William Bartock ("Bartock") hereinafter referred to as "Claimant": Harvey Kesner and at the hearing Jack Kint,

t NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08917 Scott C. Buell, Claimant v. Jeffrey Scott Patterson, Respondent ATTORNEYS: Claimant, Scott C. Buell, ("Claimant"), appeared pro se, St. Louis, MO. Respondent, Jeffery Scott Patterson, ("Respondent"), appeared pro se, Chesterfield, MO. NATURE OF DISPUTE: Associated Person v. Associated Person ™ DATE FILED: December 17, 2003 CASE SUMMARY; Claimant alleged that Respondent ought

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Henry Balboa and Dorothy Balboa (Claimants) v. Prudential Equity Group, LLC., Christopher Mone, and Dennis Cunningham (Respondents) Case Number: 03-08914 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Henry Balboa ("H. Balboa") and Dorothy Balboa ("D. Balboa") hereinafter collecti

Award NASD Dispute Resolution In the Matter of the Arbitration Between: riflimant Pagf> M^rnHpr- 03-08904 John T. Wilson, m Hiring flit?- Dallas, Texas Edward D. Jones & Co. and Judy C. Mauldin OF TTff TfcTSPTTTF. Public Customer v. Member Firm and Associated Person Claimant John T. Wilson, IE, hereinafter referred to as "Claimant": Richard L. Bourland, Esq., of the firm of Bourland, Kirkman, Seidler, Evans, Jay Michel, L.L.P., located in Fo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lea Wolf and Vick Soffer, Claimants v. American Express Financial Advisors, Inc., Respondent Case Number: 00-01707 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California For Respondent: Jon C. Furgison, Esq. Law Offices of Nash & Edgerton Hermosa Beach, California

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 03-08902 Sondra Goldberg Names of the Respondents Hearing Site- Philadelphia, PA J.J.B. Milliard, W.L. Lyons, Inc. Bruce Thomas Brolle Nature of the Dispute: Customer vs. Member and Associated Person RFPRF.SF.NTATTON OF PARTTFS Claimant, Sondra Goldberg, hereinafter referred to as "Claimant", was represented by James A. Prestia

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Phyllis Mortimer, Claimant v. Centaurus Financial, Inc., Valentino M. Scott and V.S. Associates, Respondents Case Number: 03-08901 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member, Associated Person and Non-Member f REPRESENTATION OF PARTIES For Claimant: Jared R. B. Hutton, Esq. Attorney At Law Los Angeles, California For Respondents C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Darnell N. Me Willie, Individually and as the Natural Tutrix for her Minor Children, Bradley M. Me Willie and Thomas Anthony McWillie Names of the Respondents Keith Cox Securities America, Inc. National Financial Services, LLC f/k/a National Financial Services Corporation Case Number: 03-08900 Hearing Site: New Orleans, LA

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas Henningsgard and Antoinette Henningsgard, Claimants v. Citigroup Global Markets Inc. and Marshal K. McCreal (a/k/a Marshal K. McReal), Respondents Case Number: 03-08899 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Fredrick D. Huebner, Esq. Cable, Langenbach, Kinerk &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: E.B.C. Trust Corporation, Claimant v. J.B. Oxford & Company n/k/a National Clearing Corp., Respondent Case Number: 03-08897 Hearing Site: Los Angeles, California Nature of the Dispute: Non-Member v. Member REPRESENTATION OF PARTIES For Claimant: Ellyn S. Garofelo, Esq. Deborah A. Klar, Esq. Liner, Yankelevitz, Sunshine & Regenstreif Los Angeles, California For Respon