Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ernestine F. Strobel, individually and as Trustee of the Strobel Charitable Remainder Unitrust Dated 11/29/00, Claimant v. Morgan Stanley DW Inc. and Suzanne C. Latour, Respondents Case Number: 02-05321 Hearing Site: San Diego. California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Jeffrey P. Lendrum, Esq. The Lendrum

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-02254 Estelle Lens, claimant vs. ETrade Securities, respondent. ATTORNEYS: Claimant appeared Pro Se, Citra, FL. For Respondent appeared Colleen Wink, Compliance Analyst, Rancho Cordova, CA. DATE FILED: May 2, 2001 CASE SUMMARY: Claimant alleged that respondents improperly liquidated certain securities in her account in order to clear a margin call thereby causing a loss to her accou

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Paul L. Klein, IRA Rollover DTD 10/17/00 Names of the Respondents Prudential Securities Incorporated Edward W. Mullen, Jr. David Carlson Case Number: 01-04577 Hearing Site: New Orleans, Lousiana REPRESENTATION OF PARTIES For Paul L. Klein, IRA Rollover DTD 10/17/00 ("Claimant"): Robert G. Stassi, Esq., Chehardy, Sherman, Ellis, Breslin, Murray & Recile, LLP, Me

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Orlan E. & Jean J. Wood Claimants v. James S. Bennett, American Express Financial Advisors and Gary R. Irwin, Respondents Case Number: 02-00239 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimants: Orlan E. Wood In Pro Per Quincy, Washington For Respondents: Gary R. Irwin, Esq. Nash, Edgerton & Irwin Minneapolis, Minnesota CASE INFORMATION

NASD DISPUTE RESOLUTION MODIFIED AWARD NASD DISPUTE RESOLUTION CASE: 05-01321 Timothy R. Bloc, (Claimant) vs. Citigroup Global Markets, Inc., ffk/a Salomon Smith Barney Inc., (Respondent) ATTORNEYS: For Claimant appeared Stephen J. Sfoumlas, Esq., of the firm Burt, Blee, Dixon, Sutton & Bloom, LLP, Ft Waynk IN, •;.: ) Respondent did not submit an Answer to the Statement of Claim due to settlement NATURE OF DISPUTE: Customer vs. Member »

N.A.S.D. AWARD NATIONAL ASSOCIATlfjN OF SECDRITISS DEALEKfi, INC. In me Matter o£ the Arbitration Between f Claiin Logccat Corporation and 90-00337 Name O Herman Yunnam and Mason Dinenart Claimant wad represented by Barbara Campanelli. 3sq., Lubboclc, TX. Respondent Htxcoan Yunnan was representad by Cliford J. Bunt, Esq. of Riden, EarU-e &"Kiafner, P.A., St. Petersburg, PL. * Respondent Mhson Dinenart was represented by Jared R.B. Hu

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Marlene J. Jesse, Claimant vs. Merrill, Lynch, Pierce, Fenner & Smith, Inc., and Christopher J. Venhaus, Respondents. Case Number: 99-03587 Hearing Site: Milwaukee. Wisconsin REPRESENTATION OF PARTIES Claimant Marlene J. Jesse was represented by Mark S. Schmitt, Esq., Maier, Mcllnay & Keerkman, Ltd. of Milwaukee, Wisconsin. Respondents Merrill Lynch, Pierce, Fenner & Smith

N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsl Jerry Devine 89-03468 Name of R Shearson Lehman Hutton, .Inc. ?liuin«i D. oelba Michael Rader SUMMPT (TP TSSHBS This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 9, 1990. Claimant Jerry Devine (Devine) alleges that Respondents purchased certain limited partnerships in

Arbitration ® N.A.S.D. AWARD National Association of Securities Dialers, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS Ne^Yo^Ne^York 10004 In the Matter of the Arbitration Between Name of ("laimants Andrew and Frances Camera AWW'I' Case /f vs. 90-OU352 Name of First Investors Corporation Calvin Qreilsamer CASE SUMMARY IM~ -.laim was filed --n February 2, 1990. C]e.v"MiTri"!, AnHi--.- -,-,••. } 1

NJLS.D. AWARD NOTIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Allen Taylor 90-00340 Affiliated Security Brokers, Inc. in a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about February 1, 1990, Allen Taylor ("Claimant") alleged that Affiliated Security Brokers, Inc. ("mepondaiif); 1} failed to adequately supervise its registered repreeentative in his eale Of a Treaeury Mat