Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nikonas Maitoglou (Claimant) v. Continental Broker-Dealer Cojp., Anthony Joseph Calascione, Thomas Tiernan, Mark Goetz, Dominick Bianco, Gregory Mumtaz Hasho, and Wexford Clearing (Respondents) Case Number: 03-05964 Hearing Site: New York, New York Nature of the Dispute: Customer v. Members and Associated Persons. REPRESENTATION OF PARTIES Claimant Nikonas Maitoglou ("Maitoglou"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the riaimflnfg Case IMnmher- 03-05963 Lynn and Lenore Marzulli Name of the Respondent Hearing Site: Philadelphia, PA Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc. "Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants, Lynn and Lenore Marzulli, hereinafter collectively referred to as "Claimants", represented themselves at the

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants John and Beverly Shroat and 03-05954 Chicago, Illinois Name of Respondents Merrill Lynch Pierce Fenner & Smith Russell E, Werner __ Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES John and Beverly Shroat ("Claimants") were represented by Steven J. Rotunno, Esq., Kubasiak, Fylstra, Reizen & Rotunno, Chic

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name r>f the Claimant Cast* Number- 03-05952 Larry and Sharon Alderson Name of the Respondents Hearing Site: St. Louis, Missouri Morgan Stanley DW, Inc. and Stifel, Nicolaus & Co., Inc. MATTTttF OF Customers vs. Member Firms OF PAttTTF Steven W. Koslovsky of the Law Offices of Steven Koslovsky, LLC located in Maryland Heights, Missouri, represented Claimants, Larry a

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Randy Pentel and R.P. Air, Inc. v. 03-05950 Minneapolis, Minnesota Respondents U.S. Bancorp Piper Jaffray, Inc., and Hany Mosad Nada Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Randy Pentel and R.P. Air, Inc., hereinafter referred to as "Claimants," were represented by Ted S. Meikle, Esq., of Meikle & Taylor, P. A.,

04/19/2005 09:16 FAX 213613267? NASD-O.R. ®OQ2/Q15 Stipulated Award COPY NASD Dispute Resolution In the Matter of the Arbitration Between: David A. Bessey IRA, Claimant v. Donna L. Opitz f/Wa Donna Stolle and Citigroup Global Markets, Inc. f/Jc/a Salomon Smith Barney, Inc., Respondents Case Number: 03-05943 Hearing Site: Portland, Oregon Nature of the Dispute; Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant; Jeffrey S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Heritage Income Partners, LP, Claimant v. Imperial Capital, LLC. Respondent Case Number: 03-05942 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Jerry D. Smith Heritage Income Partners, LP Irvine, California For Respondent: Timothy N. Will, Esq. Albert & Will, LLP Torrance, California CASE I

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Maxine A. Lehn, individually and as Trustee for the Maxine A. Lehn Trust, Claimants v. Morgan Stanley DW Inc., Stephen A. Winslow and Frances M. Williams, Respondents Case Number: 03-05938 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Keith D, Petrak, Esq. Byrnes & Keller, LL

A d COPY Award NASD Dispute Resolution In the Matter of the Arbitration Between: Daniel J. Capon, M.D., Claimant v. Christopher R. Greenwell, Neil D. Dabney, Michael A. Sanchez, First Allied Securities, Inc., Round Hill Securities, Inc, and Dabney Group LLC/Dabney Flanigan, LLC, Respondents Case Number: 03-05937 . HearingSite: San Francisco, California Nature of the Dispute: Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05936 Mary Bailey Names of the Respondents Hearing Site: Boca Raton, FL Kovack Securities, Inc. Veravest Investments, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mary Bailey ("Bailey"), hereinafter referred to as "Claimant": Chandra Parker Doucette, Esq., Boca Raton, Florida. For Respondent Kovac