N.A.S.D. AWARD . NATIONAL ASSOCIATION OF SECIIRITTRS nF.ALF.RS. INC In the matter of the Arbitration Between Name nf Claimant Partnership Exchange Securities Company NASD Arbitration No.94-04025 Name nf Respondent Raymond James & Associates, Inc. REPRESENTATION For Claimant: Walter T. Duryea, President, Partnership Exchange Securities Con^iany, Walnut Creek, Califomia For Respondent: John N. Critchlow, Esq., Raymond James Financial, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nfme of Claimantfs) Warren Smith 94-04021 Name of Resoondentf s) Donaldson Lufkin & Jenrette Securities Uvest Securities CASE SUMMARY In a daim filed with tte National Association of Securities Dealers, Inc. on Decemtier 1, 1994, CUumant Warren Smith, who appeased Pro Se, alleged that Reqx>ndent(s) Pershing Division of Donaldson, Lufkin & J

Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jacob Shurkin, (Claimant) vs. Mueller & Company, Inc. and Southwest Securities, (Respondents) Case Number: 00-01380 Hearing Site: New York, New York Claimant, Jacob Shurkin, hereinafter referred to as ''Claimant", appeared pro se. Previously represented by: Adelle E. Reichman, Esq., a sole practitioner, Brooklyn, NY. Respondent, Mueller & Company, Inc. ("Mueller"}: Rober

Finra FINRA DR In the Matter of Arbitration Between Case: Domenic & Judith Cistrone v. Merrill Lynch Pierce Fenner & Smith Inc, Citigroup Global Markets, Inc f/k/a Salomon Smith Barney, Inc., Morgan Stanley Dean Witter, Inc. and Andrew Wayne, Henry Blodgett, and Jacl Grubman Docket: 2003-014782 Attomeys: For Claimant(s): John W. Scriver - Toronto, Ontario, For Respondent(s): Mary Gail Gems - New York, NY DateFUed: 11/6/2003 First Scheduled

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs^ Wayne D. Gersh 94-04101 NameofResDondentfs) Maurice B. Rothenberg Investors Associates Inc. For Claimant Wayne D. Gersh ("Claimant"): Jerome Olitt, Esq. of Arbitration & Mediation Specialists, Inc., Stamford, Connecticut. For Respondent Investors Associates Inc. ("Investors"): Lawrence R. Gelber, Esq. of Beigel Schy Laslcy

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimants Nat & Harold Kahn 94-04099 Name of Respondents Merrill, Lynch, Pierce, Fenner & Smith Inc Keyan Kalhor CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 4, 1994 Claimants Nat Kahn and Harold Kahn, who appeared Pro Se, alleged that Respondents Merrill Lynch, Pierce, Feimer & S

N.A.S.D. AWARD .NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In Che Matter of the Arbitration Between Name of Claimant Raymond A. Zilnik 94-04094 Name of Respondents Dean Witter Reynolds Inc. Baron B. Benham CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 4, 1994, Claimant Raymond A. Zilnik, through his representative, Robert M. Roth, R.M. Roth & Associates, Inc., of ^jpleton, WI, alleged

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) David Harvey Keil James F. Sweeney 94-04086 REPRESENTATION The Claimant appeared pro se. The Respondent appeared pro se. CASE INFORMATION Statement of Claim filed: October 4, 1994. Qaimant's Submission Agreement signed on: October 3, 1994. The Respondent did not file an Answer or execute a submission agreement as req

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between >^l^m^ fff Cl^pj^n| Stuait L. Weisbrot Case No.94-04076 Name of Resiwndents Smith Bamey Harris Upham & Co., Inc. REPRESENTATION For Claimant, Stuait L. Weisbrot ("Weisbrot"): David H. Biodie and William S.- Weisman of Mandel, Simowitz, Weisman and Scherer, P. A. of Boca Raton, Florida. For Respondent, Smith Bamey Harris Upham & Co. ("SBHU")

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW Inc. t/a Morgan Stanley, a Delaware Corporation, Claimant v. CEM Holdings Inc. and Jason Wirtzer, Respondents Case Number: 01-04428 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Customers REPRESENTATION OF PARTIES For Claimant: Jill M. Buresh, Esq. Jones, Bell Abbott, Fleming & Fitzgerald L.L.P. Los Angeles, California For R