AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant RBC Dain Rauscher, Inc. and Case Number: 04-02761 Hearing Site: Chicago, Illinois Respondent Joseph Johnson NATURE OF DISPUTE Member v. Association Person REPRESENTATION OF PARTIES RBC Dain Rauscher, Inc., ("Claimant"), or ("RBC Dain") was represented by Nicole Siemens, Esq., and Jonathan M. Harris, Esq., of Lindquist & Vennum L.L.P., located in Minne

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Field Family LLC, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Respondent Case Number: 04-02682 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Christopher B. Wells, Esq. Lane Powell Spears Lubersky, LLP Seattle, Washington For Respondent: Curt Roy Hineline, Esq. Hassan Ab

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Leroy and Diane Jacobsen and Case Number: 04-02227 Hearing Site: Milwaukee, Wisconsin Name of Respondent Craig A. Rosenberg NATURE OF DISPUTE Customer v. Associated person. REPRESENTATION OF PARTIES Leroy and Diane Jacobsen or ("Claimants") were represented by Sean Lanphier, Esq., of Mallery & Zimmerman, S.C., located in Milwaukee Wisconsin.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04881 Ann Dobrutsky, Claimant v. Citigroup Global Markets, Inc. i7k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant, Ann Dobrutsky, ("Claimant"), appeared James Richard Hooper, Esq., of the firm Hooper & Weiss, L.L.C., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("Respondents"), a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Timothy Novelli (Claimant) vs. Samuel C. Palmer, Morgan Stanley DW, Inc., A2Z iTV, Inc. (CA), John Jacobus and A2Z iTV, Inc. (Ohio) (Respondents) Case Number: 04-01732 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member, Associated Persons, and Non-Members REPRESENTATION OF PARTIES Claimant Dr. Timothy Novelli, hereinafter referred to as "Claimant": Andrew M

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Don Edgerton, Claimant v. Prudential Equity Group, LLC, Andrew Shanbrom and Kevin T. Kitchin, Respondents Case Number: 04-01679 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: James Jay Seltzer, Esq. Michael Harrington, Esq. Law Offices of James Jay Seltzer Emeryv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-01585 Ina Sue Williams, both personally and as Trustee of The James J. Williams Trust Names of the Respondents Hearing Site: Orlando, Florida Morgan Stanley DW Inc. Steven Ellis Cowan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ina Sue Williams, both personally and as Trustee of Th

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith , Inc. (Claimants) vs. Ashley Hodge, Robert Straight and J.C. Bradford & Co. (Respondents). Case Number: 99-03019 Hearing Site: Dallas, TX REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Claimant or Merill Lynch"): Christopher C. Coss, Esq., Rubin Associates, P.C. Respondents, Ashley Hodge ("Hodge") and Robert

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gilford Securities, Inc. (Claimant) v. Richard Adam Kasparian (Respondent) Case Number: 04-01375 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Gilford Securities, Inc. ("Gilford") hereinafter referred to as "Claimant": Martin S. Cole, Esq., Martin S. Cole Law Offices, New York, NY. Respondent Richard Adam

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-02106 James and Teresa Verrillo Name of the Respondent Hearing Site: Boca Raton, Florida Janney Montgomery Scott, L.L.C. Name of the Third-Party Respondent Albert J. Copperstone Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For James and Teresa Verrillo, hereinafter referred to as