NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08291 Gary J. Walton, (Claimant) vs. Ted Lange, Rita Cahoy, Jean A. Malbrough and QA3 Financial Corp., (Respondents) ATTORNEYS: " ~ ~ ~ " " " Claimant appeared pro se, Sacramento, CA. For Respondents Theodore A. Lange ("Lange"), Rita M. Cahoy ("Cahoy"), and QA3 Financial Corp. ("QA3") appeared Bryan S. Mick, Esq., of the firm Croker, Huck, Kasher, DeWitt, Anderson, &

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08289 Jack and Estelle Broudo, Claimants v. David Louis Klein, Respondent. ATTORNEYS: Claimants, Jack and Estelle Broudo, ("Claimants"), appeared pro se, Delray Beach, FL. For Respondent, David Louis Klein, ("Respondent"), appeared Lloyd R. Schwed, Esq., of the firm Kubicki Draper, P.A., West Palm Beach, FL. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: November 19, 2003

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Leona McCarthy Belluardo, Elizabeth N. McCarthy, McCarthy 1997 Education Trust, and John J. McCarthy 1969 Trust (Claimants) v. Neuberger Berman, LLC (Respondent) Case Number: 03-08288 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Leona McCarthy Belluardo ("Belluardo"), Elizabeth N. McCarthy ("McCarthy"), McCarth

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nancy S. Linker IRA, Nancy S. Linker, Trustee fbo Brittni Micham Trust dtd 10/17/95 and the Stephanie Micham Trust dtd 10/17/95, Nancy Linker fbo Brittni Micham, Nancy Linker fbo Stephanie Micham, and Nancy Linker Profit Sharing Plan, and Nancy S. Linker (Claimants) v. Morgan Stanley DW> Inc., Thomas Nyitray, John Melick, III, Michael Stadnik, and Michelle Pommeranz (Respondents) Ca

» Stipulated Award NASD Dispute Resolution, Inc. Martha A. Tabacco v. Sigma Financial Corporation, Donald G. Terns, and Apex Capital Corp, L.L.C., and Penncorp Financial, Inc. Case Number: 00-01656 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimants Martha A. Tabacco, individually and as trustee of the Martha A. Tabacco Living Trust, ("Claimants,") were represented by David M. Foster, Esq. of David M. Foster P.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Ron M, Stawicki and Ron M. Stawicki Consulting v 03-08285 Denver, Colorado Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Michael Cope, William Marcoux, and Cope/Marcoux Group Nature of Dispute: Customers v. Member, Associated Persons, and Non-Member REPRESENTATION OF PARTIES Ron M. Stawicki and Ron M. Stawicki Consulting, hereinafter colle

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Richard Johnston v. - 03-08284 Denver, Colorado Respondents Bane One Securities Corporation, Tiffany Ann Romane, and Donna Lefebre Nature of Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Richard Johnston ("Claimant") was represented by John C. Nimmer, Esq., Omaha, Nebraska. Bane One Securities Corporation ("Bane One"), Tiffa

COPY Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sanford M. Katz, Claimant v. Goldman, Sachs & Co., Respondent Case Number: 03-08283 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES For Claimant: Robert C. Rosen, Esq. John B. Wallace, Esq. Rosen & Associates, P.C. Los Angeles, California R. Rogge Dunn, Esq. Clouse Dunn Hirsch, LLP Dal

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf tnp rlaimanf rase Nnmfrpr 03-08282 Irene C. Pierce Names nf tnp R espnnHfnts Hearing Si'fp- Washington, D.C. Raymond James Financial Services, Inc. William Gregory Chatfield Vivian Fitzgerald Edward Geoffrey Sella Name ofThrqt-Pflrty Respondent Estate of Virginia Harris by and through Maude R. Callahan Personal Representative Tntprvennr Party Custodia

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants/Counter-Respondents Donald and Glenda Brown, Peter Bachman, Financial Services Investors, Inc., and Steven Charles Signer v. 03-08281 Denver, Colorado Respondents/Counter-Claimants Refco Securities, LLC, Nick Mascio, and Peter McCarthy and Third-Party Claimants/Third-Partv Counter-Respondents Refco Securities, LLC, Nick Mascio, and Peter McCarthy v.