NASD DISPUTE RESOLUTION AWARD NAST) DISPUTE RESOLUTION CASE: 03-05840 John R. Grab, Claimant v. Merrill Lynch Pierce Fenner & Sflorth, tic,, Respondent ATTORNEYS: For daimwrt, John R. Grab, Claimant*), appeared Win- Jeraisoa Mans, Jr. Esq., of flic finn Levin, Pa^iantomo, Thorny MitdwH, Echsner, & Proctor, PA., Pensacola, FL, For Respondent. Merrill Lynch Pierce Fewer & Smith, Inc., ("Respondent"), appeared Luther M. DOIT, Jr., Esq., of flu* firm Mayoan

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Heidi M. Stallings Rev. Trust and Heidi M. Stallings IRA, Claimants v. Morgan Stanley Dean Witter Inc., Respondent Case Number: 01-01614 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants Heidi M. Stallings Rev. Trust and Heidi M. Stallings IRA: For Respondent Morgan Stanley Dean Witter, Inc. Heidi M. Stallings In Propria Persona

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05839 Aurelio P. Jimenez, DPM, IRA, Claimant v. Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc., Lisa K. Keene, and Jody A. Alexander, Respondents. ATTORNEYS: Claimant, Aurelio P. Jimenez, DPM, IRA, ("Claimant"), appeared pro se, Oxford, WI. Respondents, Morgan Stanley DW, Inc., f/k/a Dean Witter Reynolds, Inc., Lisa K. Keene, and Jody A. Alexander, ("Respondents), appeared through

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05838 Edward F. Shell, Jr., Claimant v. Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc., and Peter J. Zarkowski, Respondents. ATTORNEYS: For Claimant, Edward F. Shell, Jr., ("Claimant"), appeared Martin J. Brosnan of the firm Caputo Brosnan P.C., Warren, MI. Respondents, Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc. and Peter J. Zarkowski, (collectively "Respondents") app

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nejet Polat (Claimant) v. Citicorp Investment Services, Inc. (Respondent) Case Number: 03-05837 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Nejet Polat ("Polat") hereinafter referred to as "Claimant" appeared pro se. Respondent Citicorp Investment Services, Inc. ("CIS") hereinafter referred to as "Respondent": D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nfthe Wilbum C. and Cynthia G. Slagle Names nf the Respondents Jonathan Roberts Financial Group, Inc. John David Turner John R. Carlson Tilchen Asset Management Case Number: 03-05830 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customers vs. Terminated Member, Non-Member, and Associated Person. RRPRP.SRNTATTON OF PARTIES Claimants,

r Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kathleen K. Mitchell, Claimant v. Salomon Smith Barney n/k/a Citigroup Global Markets, Inc., Respondent Case Number: 03-05826 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Michael Audley, Esq. Law Office of Audley & Audley Berkeley, California For Respondent: William A. Hohauser, Esq. Ky Fullert

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas L. Redman and Jana L. Redman, Claimants v, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Case Number: 03-05822 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: For Respondent: Wm. Jemison Mims, Jr., Esq. Levin, Papantonio, Thomas Mitchell, Echner & Proctor Pensacola,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Jack Siano, Jack Siano and Jeannie Siano, JTWROS Names of the Respondents Investacorp, Inc. Dominick Tavella Case Number: 03-05820 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jack Siano, Jack and Jeannie Siano, JTWROS, hereinafter referred to as "Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gary Rathbun and Erma Herrick, Claimants v. Paul S. Alexander and Ladenburg, Thalmann & Co., Inc., Respondents Ladenburg, Thalmann & Co., Inc., Counter-Claimant v. Gary Rathbun, Counter-Respondent Ladenburg, Thalmann & Co., Inc., Cross-Claimant v. Paul S. Alexander, Cross-Respondent Case Number: 03-05813 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member and A