NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07688 Joe and Carolyn Sealey JTTEN, Claimants v. TradeStar Investments, Inc., Respondent. ATTORNEYS: Claimants, Joe and Carolyn Sealey JTTEN, ("Claimants"), appeared pro se, Garland, TX. For Respondent, Tradestar Investments, Inc., ("Respondent"), appeared Steven D. Plissey, Esq., of the firm Sherman & Howard, LLC, Denver, CO. NATURE OF DISPUTE: Customers v. Member DATE FILED: October 27

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07687 Charles Helbling, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Charles Helbling, ("Claimant"), appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Respondient"), appeared A. Inge Selden, ffl, Esq., of

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07682 Fitzgerald Georges, Claimant v. Fidelity Investments Institutional Services Co., Inc. and Joy L. Peterson, Respondents. ATTORNEYS: Claimant, Fitzgerald Georges, ("Claimant"), appeared pro se, New York, NY. For Respondents, Fidelity Investments Institutional Services Co., Inc. and Joy L. Peterson, ("Respondents"), appeared Stephen G. Rinehart, of the firm Jenkens & Gilchrist Parker Chap

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ala Kiaie, as attorney-in-fact for Homayoun Pezeshki, Claimant v. Bear, Stearns & Co., Inc., UBS PaineWebber, Inc. (n/k/a UBS Financial Services, Inc.), and Abbas Khoshnevissan, Respondents Case Number: 03-07672 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: Ala Kiaie San Rafael

STPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Howard A. Judt and Susan C. Judt v. 03-07668 Minneapolis, Minnesota Respondents Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., and James F. Shunk Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Howard A. Judt and Susan C. Judt ("Claimants") were represented by Leny K. Wallen-Friedman, Esq

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Julie Lampton v. 03-07666 Denver, Colorado Respondents Merrill Lynch, Pierce Fenner & Smith, Inc. and Dorothy Burke Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Julie Lampton ("Claimant") was represented by Paul G. Bursiek, Esq., Denver, Colorado. Merrill Lynch, Pierce Fenner & Smith, Inc. ("Merrill Lync

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara J. Small, Case Number: 03-07664 Claimants, vs. Merrill Lynch, Pierce, Fenner& Smith Incorporated and Hearing Site: Dallas, Texas Patrick J.Welde, Respondents. NATURE OF CASE Customer versus Member Firm and an Associated Person. REPRESENTATION OF PARTIES Claimant Barbara J. Small, ("Claimants"): Ronald H. Thrash, Shepherd Smith & Edwards, 1314 Texas

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Jane K. Rider, TTEE FBO Jane K. Rider Trust Name of the Respondent Morgan Stanley Dean Witter Case Number: 03-07662 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jane K. Rider, TTEE FBO Jane K. Rider Trust, hereinafter referred to as "Claimant": Adam S. Doner, Esq., Gordon & Doner, P.A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-07660 George Warren Florence Warren Name of the Respondent Hearing Site: Atlanta, Georgia American Municipal Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For George Warren and Florence Warren, hereinafter collectively referred to as "Claimants": Milton H. Fried, Jr., Esq., Woska & Hayes, LLP

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTIONrINC. CASE: 00-01560 Harvey J. Amster, Claimant vs. Gilford Securities Inc. and Shane Redmond, Respondents. ATTORNEYS: Claimant, Harvey J. Amster, ("Claimant"), appeared Pro Se., Oakland, CA. Respondent, Gilford Securities, Inc. ("Gilford"), appeared through its General Counsel, Norman S. Lawi, Esq., New York, NY. Respondent, Shane Redmond, ("Redmond"), appeared Pro Se., San Francisco, CA. DATE FI