Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Rocco Zuccarelli, (Claimant) vs. Barington Capital Group, L.P., (Respondent) Case Number: 00-00159 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Rocco Zuccarelli, hereinafter referred to as "Claimant": Vincent P. McCarthy, Esq., McCarthy Law Offices, LLC, New Milford, CT. Respondent Barington Capital Group, L.P., hereinafter referred to as "Respondent": S

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07146 John A. Walker and Linda S. Walker, Claimants v. Fifth Third Securities, Inc., Respondent ATTORNEYS: Claimants John A. Walker and Linda S. Walker (collectively "Claimants") appeared pro se, Portsmouth, OH. For Respondent Fifth Third Securities, Inc. ("Respondent") appeared Joseph M. Callow, Jr., Esq., of the firm Keating, Muething & Klekamp, PLL, Cincinnati, OH. NATURE OF DISPUTE

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Madalone (Claimant) v. Gregory Pease, Merrill Lynch Pierce Fenner Smith Inc., The Pease Milligan Group, Robert Milligan, Emily Schmidt, and Carmen LaRossa (Respondents) Case Number: 03-07145 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant James Madalone ("Madalone") hereinafter ref

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nancy Cacciatore (Claimant) v. Gregory Pease, Merrill Lynch Pierce Fenner Smith & Co., The Pease Milligan Group, Robert Milligan, Emily Schmidt and Carmen LaRossa (Respondents) Case Number: 03-07143 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Nancy Cacciatore ("Cacciatore") hereinaf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Albert Schaffer and Elaine Schaffer, Albert Schaffer IRA, and Elaine Schaffer IRA (Claimants) v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Michael Flugger (Respondents) Case Number: 03-07142 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Albert Schaffer and Elaine S

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-07137 Julian D. Butler Henrietta McBride Welch, Personal Representatives of the Estate of Martha B. Blue Names of the Respondents Hearing Site: Atlanta, Georgia Merrill Lynch, Pierce, Fenner & Smith, Inc. Stanley M. Taylor Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John M. Heizer and Mike Heizer Construction, Inc. 93-04556 Name of Respondents Dean Witter Reynolds, Inc. and Jeffrey Joseph Haspei REPRESENTATION Claimant John Heizer ("Claimant") appeared Pro Se at the hearing. Respondents Dean Witter Reynolds Inc. ("Dean Witter") and Jeffrey Haspei ("Haspei") were present and represented

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Longmead Properties, LTD. (Claimant) v. Delta Asset Management Company, LLC, Penson Financial Services, Inc., and William A. Malloy (Respondents) Case Number: 03-07133 Hearing Site: New York, New York Nature of the Dispute: Customer v. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Longmead Properties, LTD. ("Longmead") hereinafter referred to as "Claimant": C

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James Eugene Nowlin and Names of Respondents Morgan Stanley DW, Inc., and Jeffrey M. Roumfort Case Number: 03-07126 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES James Eugene Nowlin ("Claimant") was represented by Brian Bro, Esq., Houston Texas. Morgan Stanley DW, Inc

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07121 Henry Lieberman, Claimant v. Ryan Beck & Co. and Michael Ferber, Respondents. ATTORNEYS: Claimant, Henry Lieberman, ("Claimant"), appeared pro se, Morganville, NJ. Respondents, (collectively "Respondents"): Respondent, Ryan Beck & Co., ("Ryan"), appeared through their in-house counsel, Jeffrey B. Cohen, New York , NY. Respondent, Michael Ferber, ("Ferber"), appeared pro se, Edgewat