NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07531 Dennis Lee Roche IRA, Claimant v. Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc., and Douglas Speth, Respondents. ATTORNEYS: Claimant, Dennis Lee Roche, IRA, ("Claimant"), appeared pro se, Fountain Valley, CA. Respondents, Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc. and Douglas Speth, ("Respondents"), appeared through their in-house counsel, Harrison Kaufman, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-07513 Lily Ann Crocker fi of thft Respondents Hearing Site: St. Louis, Missouri Wyoming Financial Securities, Inc., Burns, Gustus & Co., Boris E. Schneider and Steven Schilson O Customer vs. Member Firm and Associated Persons nF John A. Kilo, Esq. of the law firm Kilo, Flynn, Billingsley, Trame & Brown located in St. Louis, Missou

Award NASD Dispute Resolution In tneMatter oi the Arbitration Between: Name of the Claimant Roberto Torres Case Number: 03-07507 Names of the Respondents GKN Securities Corp. Joseph Charles & Associates, Inc. Doyd Wade Securities, Inc. Hearing Site: Boca Raton, Florida Nature of the Dispute: Associated Person vs. Terminated Member. REPRESENTATION OF PARTIES Claimant Roberto Torres ('Torres") appeared pro se. Respondent GKN Securi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robin Roscoe Hunt, Claimant v. Salomon Smith Barney, Inc. (n/k/a Citigroup Global Markets, Inc.) and Daniel Dana Jackson, IV, Respondents Case Number: 03-07500 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Mitchell S. Ostwald, Esq. Law Offices of Mitchwell S. Ostwald Sacrame

4 Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 03-07499 Melvin C. Rybak and Sylvia J. Rybak Name of the Respondents Hearing Site: Baltimore, MD Wachovia Securities, LLC and John F. Means Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Melvin C. Rybak and Sylvia J. Rybak ("Rybaks"), (hereinafter referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nfthe Claimants William E. Carrier Erana M. Carrier ifi nf the Respondents Case Number: 03-07554 Craig A. Spry Wesley M. Egan Daniel J. Ludeman Wachovia Securities, LLC ing Site- Charlotte, North Carolina Nature of the Dispute: Customers vs. Member and Associated Persons. RFPRRSKNTATTON OF PAKTTFS Claimants, William E. Carrier and Erana M. Carrier,

N.A.S.D. AWARD NATIONAL ASSOCLVTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gregory A. and Tawom Jones 94-03839 Name of Resttondents Phillip C. Contino Mark 1. Lew J. Israel Lew Lieberbaum & Company Inc. REPRESENTATION For claimants Gregory A. and Tawom Jones ("claimants") appeared John T. Conroy, Esq., a sole practitioner located in Columbus, Ohio. For respondent Phillip C. Contino ("Contino")

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth Emery and Marjorie Emery, Claimants v. Prudential Securities Inc. (n.k.a. Prudential Equity Group, IXC), Michael J. Corley and Charles J. McFadden, Respondents Case Number: 03-07544 Hearing Site: San Francisco, California Nature of the Dispute; Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Richard Sacks Irwin Stein Law Offices of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert D. Crane and Michele A. Crane, Claimants v. Prudential Securities Incorporated n/k/a Prudential Equity Group, LLC and Brian D. Kelley, Respondents Case Number: 03-07541 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: C. Lawrence Powell, Esq. Bright & Powell Carpinteria, Cal

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Douglas Brennan and Richland Capital Management, Inc., (Claimants) vs. Adolph Komorsky & Hoffman, Ltd. d/b/a Adolph Komorsky Investments, Peter Adolph, and Mark Komorsky, (Respondents) vs. Andrew Judge and Annette Brigida (Third-Party Respondents) Case Number: 00-01545 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Douglas Brennan ("Brennan") and Richland Capi