Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stephen and Peggy Kalemkarian, individually, and Stephen and David Kalemkarian, Trustees of Stephen A. Kalemkarian Inc. Target Benefit Pension Plan, Claimants v. Salomon Smith Barney nka Citigroup Global Markets, Inc. and Harry Gaykian., Respondents Case Number: 02-00148 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Scott R. Shewan, Esq. Born,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Catherine Lucan (Claimant) vs. Lebenthal & Co., Inc., Harry M. Weiss, Ruben Augusta and Gerald M. Tankersley (Respondents) vs. Joan Honahan (Third-Party Respondent) Case Number: 01-06815 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons vs. Non-member REPRESENTATION OF PARTIES Claimant Catherine Lucan hereinafter referred to as "Claim

Amended Award NASD In the Matter of the Arbitration Between: Sterling Financial Investment Group, Inc. Claimant v. Internationa] Capital Growth, LLC. Fred Gonzalez, and Louis Nolfo, Respondents Case Number: 01-04286 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Claimant Sterling Financial Investment Group, Inc. (hereinafter "Claimant" or "Sterling")". Curtis Carlson, Esq., Miami, FL. For Respondents International Capita

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03028 Bryan demons, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: For Claimant, Bryan demons ("Claimant"), appeared Paul W. Thomas, Esq. of the firm Paul W. Thomas & Associates, Carlsbad, CA. Respondent, E*Trade Securities, Inc. ("Respondent"), appeared through its Internal Compliance Manager,Thomas R. Delaney, Menlo Park, CA. DATE FILED: July 2, 1999 CASE SUMMA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-04196 Peter Margolis Donald Margolis Michael Oral Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds Inc. Scott Donate Christopher D. McCray Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Peter Margolis ("PM"), Don

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Daryl and Elizabeth Roecker and 01-03357 Overland Park, Kansas Name of Respondents Bear Stearns & Co., Inc. Darryl A. Lindsey REPRESENTATION OF PARTIES Daryl and Elizabeth Roecker ("Claimants") were represented by Diane A. Nygaard, Esq. and Robin R. LaFollette, Esq. The Nygaard Law Firm, Kansas City, Missouri. Bear Stearns & Co., Inc. ("Res

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Timothy W. Crawford, (Claimant) vs. Bane Stock Financial Services, Inc., (Respondent) Case Number: 01-03248 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimant, Timothy W. Crawford, hereinafter referred to as "Claimant": Phillip D. Lehmkuhl, Esq., a sole practitioner, Mt. Vernon, OH. Respondent, Bane Stock Financial Services, Inc., hereinafter referred to as "Respondent"

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Don Odom and Donna Odom, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Bob Conklin, Gary Sinnett, Ken Jones, and John Peterson, Respondents rasp. Number: 01-03242 Hearing Site: Anchorage, Alaska RFPRFSFNTATTON OF PARTTFS For Claimants: William F. Brattain, Esq. Baker Brattain, LLC Anchorage, Alaska For Respondent Merrill Lynch, Pierce, Fenner

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Russell L. Keltner, Claimant v. First Union Securities, Inc. and Corey W. Keeling, Respondents Case Number: 01-03235 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Paul W. Thomas, Esq. Neda Ataie, Esq. Law Offices of Paul W. Thomas & Associates Carlsbad, California For Respondents: Bruce Lewitas, Esq. Lewitas & Associates, P.C. Chicag

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dunklin McCondichie and Billie McCondichie (Claimants) vs. Elliot Nadel, Stephen Comeau, and Tarpon Scurry Investments (Respondents) Case Number: 01-03112 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Persons and Member REPRESENTATION OF PARTIES Claimants Dunklin McCondichie ("D. McCondichie") and Billie McCondichie ("B. McCondichie") hereinaft