Award NASD Dispute Resolution In the Matter of the Arbitration Between; er' 03-08831 Emmett A. Larkin Company, Inc. JTis ftitfl* Dallas, Texas Terrence Frederick Fish; and Christopher D. McKenzie OF TtF nMPTTTF. Member Firm v. Associated Persons Melvin L. Peterson, Executive Vice-President, Emmett A. Larkin Company, Inc. represented the Claimant, Emmett A. Larkin Company, Inc. ("Claimant"). Respondent Christopher D. McKenzie ("McKenzie")

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harry Tedsen and Revocable Trust of Harry Tedsen, U/A DTD 7/11/96, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Kurt C. Jackson, Respondents Case Number: 03-08830 Hearing Site: Reno, Nevada Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Thomas C. Bradley, Esq. Sinai, Schroeder, Mooney,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marjorie J. Koch, Claimant v. Morgan Stanley DW Inc., Robert L. Palleschi, Joseph M. Miller, and Leonard Goldberg, Respondents Case Number: 03-08827 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant Marjorie J. Koch: Marjorie J. Koch In Propria Persona Cathedral City, California F

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08822 Robert Rodgers, Claimant v. Citigroup Global Markets, Inc. file/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: _— For Claimant, Robert Rodgers, ("Claimant"), appeared Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners, Newburgh, NY. Respondents, Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("Respondents")

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-08819 Elvin Michael Gisclair Yosette P. Gisclair Name of the Respondent Hearing Site: New Orleans, LA Prudential Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Elvin Michael Gisclair and Yosette P. Gisclair, hereinafter collectively referred to as "Claimants": L. Stephen Cox, Esq., Lafitte

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Adrian B. Fink, Jr. (Claimant) v. McDonald Investments Inc. and Douglas Sanker (Respondents) Case Number: 03-08817 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Adrian B. Fink, Jr. ("Fink") hereinafter referred to as "Claimant": R. Eric Kennedy, Esq. and Daniel P. Goetz, Esq., Weism

Award NASD Dispute Resolution, Inc. in the Matter of the Arbitration Between: Susan J. Chesser, Claimant Vs. Lloyd Wade Securities, Inc., and Quang Minh Vo, Respondents. Case Number: Hearing Site: 00-01701 Cleveland, Ohio REPRESENTATION OF PARTIES Claimant Susan J. Chesser ("Chesser") was represented by Brian P. Biggins, Esquire, of Hailing & Cayo, S.C., Cleveland, Ohio. Respondent Lloyd Wade Securities, inc. ("Lloyd Wade

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Warren & Fern Ellison and Ellison Revocable Trust and 03-08811 Phoenix, Arizona Name of Respondents SunAmerica Securities, Inc. Wilson D. Kelso Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Warren & Fern Ellison and Ellison Revocable Trust ("Claimants") were represented by Jon A. Titus, Esq

AWARD NASO Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Philip H. Hengels and Name of Respondents Prudential Equity Group Inc., and Mark Gierl Case Number: 03-08809 Hearing Site: Chicago, Illinois NATURE OF DISPUTE Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Philip H. Hengels, ("Hengles"), or, ("Claimant"), was represented by Howard B. Prossnitz, Esq., of the Law Offices

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, LLC and Name of Respondent Jeffrey P. Torrice Case Number: 03-08807 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Member v. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant") was represented by Diane C. Fischer, Esq. and Jeffrey M. Gershon, Esq., Kane & Fischer, Ltd., Chicago, Illinois.