Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of thp. Claimants Neil H. Brown and Ruth B. Brown Case Number- 03-07189 Names nf the Respondents Parker/Hunter Incorporated Jean-MeGonnick Hearing Location! Pittsburgh, PA Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION Off PARTIES Claimants, Neil M. Brown and Ruth B. Brown, hereinafter collectively referred to as

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frederick Goldstein, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Inc. and Richard A. Gleason Jr., Respondents Case Number: 03-07185 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Jules L. Federman Jules L. Federman Securities Consultant Santa Barbara, California

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-01521 Charles Schwab & Co., Inc., Claimant vs. Stephen Zein, Respondent. ATTORNEYS: Claimant, Charles Schwab & Co., Inc. ("Claimant"), appeared through its in-house counsel, Mauricio S. Beugelmans, Esq., San Francisco, CA. Respondent, Steven Zein, ("Respondent"), appeared Pro Se, Fort Lauderdale, FL. DATE FILED: April 11, 2000 CASE SUMMARY: Claimant alleged that Respondent failed t

AWARD NASD Regulation, Inc. In the Matter of die Arbitration Between Name of Claimant Container Prcxiucts Corporation NASD CASE NO. 97-05995 Name of Respondent Interstate/Johnson Lane Corporation REPRESENTATION For Claimant: Andrew O. Whiteman, Esq. of Hartzell & Whiteman, L.L.P., Raleigh, North Carolina. For Respondent: Pamela P. Wamement, Esq.» Deputy General Counsel of Interstate/Johnson Lane Corporation ("UL"), Charlotte, North Carolina.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ted M. Bessen (Claimant) v. Lincoln Financial Advisors Corp., Lincoln Financial Group, Inc. and Daniel Gindi (Respondents) Case Number: 03-07182 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member, Non-Member, and Associated Person. REPRESENTATION OF PARTIES Claimant Ted M. Bessen ("Bessen") hereinafter referred to as "Claimant": Jeffrey C. Ruderman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eric L. Goldstein (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Henry M. Blodget (Respondents) Case Number: 03-07176 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Eric L. Goldstein ("Goldstein") hereinafter referred to as "Claimant": Thomas J. Fleming, Esq., Olshan Grundman Fr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jonathan K. Deyoe and Charles R. Pound, Claimants v. Salomon Smith Barney Inc., now known as Citigroup Global Markets Inc., Respondent Case Number: 03-07169 Hearing Site: San Francisco, California Nature of the Dispute: Associated Persons vs. Member REPRESENTATION OF PARTIES For Claimants: Charles M. Louderback Clarice C. Liu The Louderback Law Firm San Francisco, Califo

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant The Celia V. Hix Revocable Trust Michael J. Greeman, Trustee V. 03-08174 Minneapolis, Minnesota Respondents Piper Jaffray & Co., and Curtis R. Purington Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES The Celia V. Hix Revocable Trust, Michael J. Greeman, Trustee ("Claimant") was represented by Mark J. Briol, Esq., Briol &

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07168 American Express Financial Advisors, Inc., Claimant v. Reuben Pasandi and Aliza Pasandi, Respondents. ATTORNEYS: For Claimant, American Express Financial Advisors, Inc., ("Claimant"), appeared its Collections Manager, Michael Northrop, Minneapolis, MN. For Respondents, Reuben Pasandi and Aliza Pasandi, ("Respondents"), appeared Rod H. Elyson, Esq., of the Law Office of Rod H. Elyso

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimants Case Number: 03-07167 Merrill Lynch Pierce Fenner & Smith, Inc. Name nf the Respondents Hearing Site: Indianapolis, Indiana Scott R. Minton NATITRF O Member Firm vs. Associated Person David F. McComb, Esq. and Peter Greiner, Esq. of the law firm Rubin, Fortunate, Harbison & Dougherty, P.C., located in Paoli, Pennsylvania, represented Claimant, Merrill L