Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Suzanne Baker Names nf the Respondents First Montauk Securities Corp. Joseph Jachetti Louis Inglese Case Nutnher: 03-08630 ing site- Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Persons. KRPRFSTTNTATTON OF PARTIES Claimant Suzanne Baker, hereinafter referred to as "Claimant", was represented by Thomas J

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: R. Kenneth Landow, Claimant v. Charles Wright and Drake Capital Securities, Inc. Respondents. Case Number: 98-04818 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimant: Thomas R. Laube, Esq. Sandler, Lasry, Laube, Byer & Valdez San Diego, Califomia For Respondents: David Lenny, Esq. Donahue, Mesereau & Leids, LLP Los Angeles, Califomia CASE INFOR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-08628 Eric M. Behr Name of the Respondent Hearing Site: Boca Raton, FL Merrill Lynch, Pierce, Fenner & Smith Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Eric M. Behr, ("Behr") hereinafter referred to as "Claimant": David A. Weintraub, Esq., David A. Weintraub, P.A., Fort Lauderdale, Florida.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Jere W. Planck, individually, as custodian, and as Trustee; Mary C. Planck, individually and as custodian; and Archicon, L.L.C. and 03-08623 Phoenix, Arizona Name of Respondents Prudential Equity Group, LLC Piper Jaffray & Co. Ernest E. Scarbrough Nature of the Dispute: Customers vs. Members and Associated Person. REPRESENTATION OF PARTIES Je

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-08621 Raymond Epstein Names of the Respondents Hearing Site: Boca Raton, Florida Salomon Smith Barney Jonathan D, Sackson Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Raymond Epstein, hereinafter referred to as "Claimant": Michael Huberman, Esq., Huberman & Associates, Boca

Revised Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nnma nftVip. Vickie S. Louden of thf. Citigroup Global Markets, Inc. Douglas S. Dvorak Edward J. Wagner r.asp Number. 03-08620 ng gite- Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant, Vickie S. Louden, hereinafter referred to as "Claimant", was represented by Michael

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Global Interactive Enterprises, Inc. and Dan Heston 17k/a Dan Yashar, Claimants v. Morgan Stanley DW Inc., Respondent Case Number: 03-08618 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Dayton B. Parcells, III, Esq. Parcells & Associates Los Angeles, California For Respondent: William M. Turner,

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: ) ) Robert F. Glaser and Alissa Glaser, , ) Arbitration No.: 03-08617 Individually and as Trustees of the ) Alissa Glaser Trust, ) ) Claimants, ) v. ) ) O.N. Equity Sales Co. and ) Hearing Site: Kansas City, Missouri Scott J. Colangelo, ) ) Respondents. ) NATURE OF THE DISPUTE Customers vs. Member Firm and Associated Person REPRES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thf* Claimant Case Number: 03-08616 Stifel, Nicolaus & Co., Inc. Name of th^ Respondent Hearing Site: Indianapolis, Indiana Dwight A. Longest MATIIRF OF niSPMTF Member Firm v. Associated Person RFPRFSFMTATIOM OF Peter R. Sonderby, Esq. of the law firm Ulmer & Berne, LLP, located in Chicago, Illinois represented Claimant, Stifel, Nicolaus & Co., Inc. ("Stifel"), h

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08608 Thomas Menichello and Estelle Menichello, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimants Thomas Menichello and Estelle Menichello (collectively "Claimants") appeared Marshall P. Richer, Esq. of the firm Finkelstein & Partners, Newbiirgh, NY. For Respondents Citigroup Global Markets, Inc. f/k/a Salom