Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-07806 Michael J. Whelan Names of the Respondents Hearing Site: Orlando, Florida NFP Securities, Inc. Thomas Masterson Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Michael J. Whelan, hereinafter referred to as "Claimant": Darren Blum, Esq. and Scott L. Silver, Esq., Blum, Si

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Estate of Rita Badner by Marion Green as Executrix of the Estate of Rita Badner (Claimant) vs. J.B. Hanauer & Co. and Stuart Perlmutter (Respondents) vs. Marion Green as Executrix of Estate of Rita Badner and Elizabeth Muss (Third-Party Respondent) Case Number: 03-07804 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person Member an

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Irene R. Mustard, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Sandra U. Torres, Respondents Case Number: 03-07799 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: William S. Bonnheim, Esq. William S. Bonnheim, PLC Palm Desert, California For Respondents

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: "NTames of the Clai Lacey D. Coker and Emmie M. Coker "Names nf th^ Respondents A.G. Edwards & Sons, Inc. and Charles Alessandro r' 03-07798 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customers vs. Member and Associated Person. OF PAKTTFS Claimants Lacey D. Coker and Emmie M. Coker, hereinafter collectively referred to as "Claimants

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-07797 Mary K. Yuhas, individually and as Trustee of the Mary K. Yuhas Revocable Trust U/A dated October 21,1999; Names of the Respondents Hearing Site: Boca Raton, FL Leonard C. Demers; The Private Financial Group, Inc.; SII Investments, Inc.; First American Securities, Inc.; Somerset Financial Group, Inc.; and Roan/Meyers Ass

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Luis Vidaurre and Carmen Vidaurre, Claimants v. Prudential Securities Incorporated n/k/a Prudential Equity Group, LLC, Respondent Case Number: 03-07791 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Erwin J. Shustak, Esq. Shustak Jalfl & Heller San Diego, California For Respondent: Ryan J. Larsen,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bear Stearns & Co., Inc, Claimant vs. Suzanne L. Sitlington, Respondent. Case Number: 00-01574 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES Claimant, Bear Stearns & Co., Inc., hereinafter referred to as "Claimant": Thomas Sirakas, Esq., Bellows & Bellows, Chicago, IL. Respondent, Suzanne L. Sitlington, hereinafter referred to as "Respondent": Al Van Kampen,

NASD DISPUTE RESOLUTION A\yARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00179 Pamela Heard, Claimant vs. BT Alex Brown, Inc., f/k/a Alex Brown & Sons Inc., and John F. Caroll, IV, a/k/a John Carroll, Respondents. ATTORNEYS: For Claimant appeared John R. Eubanks, Jr. Esq., of the firm Moyle, Flanigan, Katz, Kolins, Raymond & Sheehan P. A., West Palm Beach, FL. Claimant previously appeared Pro Se, Boca Raton, FL. For Respondent BT Alex Brown, Inc., appe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Farshid Moussavi, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Michael E. Ching, Seth R. Weber, Ulrike B. Aoki and John W. Thiel, Respondents Case Number: 03-07787 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Timothy A. Canning, Esq. Attorney At Law Novato, Calif

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Natalie Tsakiridis, Angelica Tsakiridis, and Christopher Tsakiridis and Names of Respondents Birkelbach Investment Securities, Inc., Peregrine Financial & Securities and Patrick Steven Jage , . . •', Case Number: 03-07785 Hearing Location: Chicago, Illinois NATURE OF DISPUTE Customers vs. Member Firms and Associated Person REPRESENTATIO