Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Caroline G. Gardiner (Claimant) v. McLaughlin, Piven, Vogel Securities, Inc. and Steven Ircha (Respondents) Case Number: 04-00126 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Caroline G. Gardiner ("Claimant"): Dan Brecher, Esq., Law Office of Dan Brecher, New York, New York. Res

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00123 Phyllis A. Port, Claimant v. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Phyllis A. Port ("Claimant"), appeared Marshall P. Richer, Esq., of the firm Finkelstein & Partners, Albany, NY. For Respondents, Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("Respondents")

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: * * Joseph Geliebter and Florence Geliebter (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith and Daniel B. Dunn (Respondents) ~ Case Number: 04-00122 Hearing Site: New York, New York Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Joseph Geliebter and Florence Geliebter, hereinafter referred to as "Claimants" ap

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Midwest Neurosurgery Associates P.C. Profit Sharing Plan dtd 10/28/72 and 04-00113 Kansas City, Missouri Name of Respondents Morgan Stanley DW, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Midwest Neurosurgery Associates P.C. Profit Sharing Plan dtd 10/28/72 ("Claimant") was represented by Barry D. Estell, Esq., Missio

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Walter L. Abel, (Claimant) vs. Kristian Lou, Kidder, Peabody & Co., Incorporated, Paine Webber Incorporated, and Paine Webber Group, Inc., (Respondents) Case Number: 01-01734 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Walter L. Abel, hereinafter referred to as "Claimant": James G. Green, Jr., Esq., Pepe & Hazard, Hartford, CT. Previously represented by D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter Bort, Virginia H. Bort, Alexandra N. Bort, and Samantha R. Bort, individually and as trustees for the Bort Family Trust UA DTD 04/30/96 EQH-173670-T9 and EQH-852470-T9, Peter Bort IRA, and Virginia H. Bort IRA, Claimants v. Prudential Securities, Inc. n/k/a Prudential Equity Group, LLC, Respondent Case Number: 04-00111 Hearing Site: Los Angeles, California Nature of the Disput

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants James R McCullough Cheiryl Anne McCullough Name of the Case Number! 04-00110 AXA Advisors, LLC Hearing Site- Charlotte, North Carolina Nature of the Dispute: Customers vs. Member. RFPRF.SF.NTATTON OF PARTTFS Claimants, James R. McCullough and Cherryl Anne McCullough, hereinafter collectively referred to as "Claimants", were represented by P

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles G. Paddock, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Ronald H. Kabot, Respondents Case Number: 04-00100 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: William S. Bonnheim, Esq. William S. Bonnheim, PLC Palm Desert, California For Respondents

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Olin Edward Gates and Suzanne P. Gates and Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Thomas Wayne Dunn, Christel Kuberg Dunn and Jason Paul Demers Case Number: 04-00099 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Olin Edwar

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Lorraine M. Stock v. Case Number: 04-00097 Minneapolis, Minnesota Respondents Signator Investors, Inc., and Bennett E. Conklin NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Lorraine M. Stock ("Claimant") was represented by Paul J. Roshka, Jr., Esq., Roshka Heyman & DeWulf, PLC, Phoenix, Arizona. Signat