Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants , Case Number: 03-G&314 Leon Pinsel Phyllis Pinsel Phyllis Pinsel as Trustee of the Phyllis Pinsel MPP/PS Plan DTD 10/23/97 Leon Pinsel as Trustee of the Leon Pinsel PS Plan DTD 12/17/82 i Name of the Respondent Hearing Site: Boca Raton, Florida Prudential Equity Group, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF P

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Ronald Marini and Ronald Marini as Assignee of Blaketon Investments Ltd. Names of the Respondents Paine Webber John Delappe Case Number: 03-08309 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ronald Marini and Ronald Marini as Assignee of Blaketon I

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James Brockelman and 03-08306 Phoenix, Arizona Name of Respondents Prudential Equity Group, LLC Wachovia Securities, LLC T. Steven Jackson Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES James Brockelman ("Claimant") was represented by Avery B. Goodman, Esq., A.B. Goodman Law Firm, Ltd., Ft. Collins,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Louis Anthony DeCola, Jr. Case No. 00-01658 Name of Respondent McDonald, Investments, Inc. REPRESENTATION OF PARTIES Claimant Louis Anthony DeCola, Jr. ("DeCola") was represented by James B. Davis, Esq., located in Newbury, Ohio. Respondent McDonald Investments, Inc. ("McDonald") was represented Kenneth A. Bravo, Esq., located in Cleveland, Ohio

r Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alan C. Smith and Laura Ghionea-Smith, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Derek R. Johnson, Respondents Case Number: 03-08304 Hearing Site: Portland, Oregon Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Milton Fried, Esq. Woska & Hayes, LLP Kingwood, Texas For Respondents: Laurie

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08299 Stanton Swartley and Charlene Swartley, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: For Claimants, Stanton Swartley and Charlene Swartley, ("Claimants"), appeared Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners, Newburgh, NY. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Ba

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rena Dressier and Rena Dressier IRA (Claimants) v. Cadaret, Grant & Co., Inc. and Marvin William Lax (Respondents) Case Number: 03-08298 Hearing Site: Cranston, Rhode Island Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Rena Dressier ("Dressier") and Rena Dressier IRA ("Dressier IRA*') hereinafter collectively referred to as

NASB DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08297 UBS Financial Services, Inc., Claimant v . B.G. Riggins, Respondent ATTORNEYS; For Claimant UBS Financial Services, Inc. ("Claimant") appeared Laura Martin, Esq., of the firm Davidson & Granmrnv IJLP. Northvate, NJ. Respondent B.Ci Rigging ("Respondem") did not make an appearance in this matter, NATURB OF DTSPUTE; Member vs. Customer, DATE FILED; November IS, 21)03, CAS

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Doris L. Wertz Trust (Claimant) v. Locust Street Securities, Inc., Directed Services, Inc., and Shawn Swanson (Respondents) Case Number: 03-08294 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers v. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Doris L. Wertz Trust ("Wertz Trust") hereinafter referred to as "Claimant": John M. Snider, E

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08293 Robert Nathan, as Trustee of the Robert Nathan Revocable Trust, Claimant v. Citigroup GlobaJ Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant Robert Nathan, as Trustee of the Robert Nathan Revocable Trust, ("Claimant"), appeared Marshall P. Richer, Esq., Finkelstein & Partners, Albany, NY. For Respondents, Citigroup Global Markets,