STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Pan-American Financial Services and Name of Respondent John Steven Blount Case Number: 03-07784 Hearing Site: Houston, Texas NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Pan-American Financial Services ("Claimant") was represented by Daniel LaGrone, Esq., Pan-American Financial Services, New Orleans,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Faye Del! Sandlin and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., and Michael Lynne Luken Case Number: 03-07783 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Faye Dell Sandlin ("Claimant") was represented by Victor R. Rodriguez, Esq., Houston, Texa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-07779 Bernard R. Friesmuth Names of the Respondents Hearing Site: Orlando, Florida Prudential Equity Group, Inc. UBS Financial Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Bernard R. Friesmuth, hereinafter referred to as "Claimant": Stanley T. Padgett, Esq., Morgan, Padgett Law Group, P.A.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-07778 Maria Toth Names of the Respondents Hearing Site: Boca Raton, Florida John J. Slavic Slavic Investment Corporation Slavic Mutual Funds Management Corp. Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES For Maria Toth, hereinafter referred to as "Claimant": Brenda M. Combs, Es

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Fred Barlow Anita Barlow Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. C. Jay Chudnoff Case Number: 03-07777 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Fred Barlow and Anita Barlow, hereinafter collectively referred to as "Claimants

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07775 Top Hat Entertainment, Inc., Claimant v. Morgan Stanley DW, Inc. and Fred Cornett, Respondents ATTORNEYS: Claimant Top Hat Entertainment, Inc. ("Claimant") appeared pro se through Gwilda Baltin, Top Hat Entertainment, Inc., West Palm Beach, FL. For Respondents Morgan Stanley DW, Inc. and Fred Cornett collectively ("Respondents") appeared Keith Guilfoyle, Esq., in-house counsel, Mor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hildegard Rimes and Ingrid Klute JTWROS (Claimants) v. Merrill Lynch, Pierce, Fenner Smith, Inc. and Marilyn Sinclair (Respondents) Case Number: 03-07770 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. Claimants Hildegard Rimes ("Rimes") and Itigrid Klute ("Kiute") JTWROS hereinafter collectively referred to as "Claimants": Douglas

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Olga Castano Case No. 00-01572 Name of Respondent JWGenesis Securities, Inc. REPRESENTATION OF PARTIES For Olga Castano ("Castano"), hereinafter referred to as "Claimant": Matthew H. Maschler, Attorney at Law, Matawan, New Jersey. For JWGenesis Securities, Inc. ("Genesis"), hereinafter referred to as "Respondent": Kathy M. Klock, Executive Vice

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark Casella, Paul Staadeker, Dan Torbeck, Chris De Simio, and Ken Rinehart (Claimants) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. (Respondent) Case Number: 03-07769 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants Mark Casella ("Casella"), Paul Staadeker ("Staadeker"), Dan Torbeck ("Torb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Issac Markowitz (Claimant) v. Bishop Rosen & Co. (Respondent) Case Number: 03-07767 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Issac Markowitz hereinafter referred to as "Claimant": Stuart P. Schlem, Stock Market Recovery Consultants Inc., Brooklyn, NY. Respondent, Bishop Rosen hereinafter referred to as "Respo