Award NASD Dispute Resolution In the Matter of the Arbitration Between: David A. Walters, Claimant v. Roth Capital Partners, LLC and Byron Clarence Roth, Respondents Case Number: 01-01550 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Waiter G. Koontz, Jr., Esq. Law Offices of Walter G. Koontz. Jr. Newport Beach, California For Respondents

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Bernard Family Revocable Trust, Basil Bernard as Co-Trustee and Marlene Bernard as Co-Trustee Names of the Respondents Morgan Stanley DW, Inc. Denise Chin Quee Case Number: 03-05326 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Bernard Family Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-05322 Harvey Then and Gloria Then, individually, jointly, and on behalf of any retirement or trust accounts Name of the Respondent Hearing Site: Orlando, Florida Morgan Stanley (Dean Witter), Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Harvey Titen and Gloria Titen, individually, jointly, and on be

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anne M. Mclntosh IRA; The Anne M. Mclntosh Revocable Trust, Anne M. Mclntosh, Trustee; and FBO Robert Mclntosh Revocable Trust, Anne M, Mclntosh, Trustee (Claimants) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Nicholas Hopley (Respondents) Case Number: 03-05320 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member and Associated P

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05316 John M. Watson and Frankie Sharon Watson, Claimants v. USAllianz Securities, Inc. and Jon Patrick Bourg, Respondents. ATTORNEYS: For Claimants, John M. and Frankie Sharon Watson, ("Claimants"), appeared Herbert E. Pounds, San Antonio, TX. Respondents, collectively known as "Respondents": For Respondent, USAHianz Securities, Inc., ("USAHianz"), appeared Catherine A. McEnroe, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Reva Ostrow (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Citigroup Global Markets, Inc. fiTc/a Salomon Smith Barney, Inc., and Sandy Toochin (Respondents) Case Number: 03-05313 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Reva Ostrow ("Ostrow") hereinafter referred to as "Claimant

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Manfred Arens and Margret Arens (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Adrian Mahoney (Respondents) Case Number: 03-05312 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Manfred Arens ("Manfred Arens") and Margret Arens ("Margret Arens") hereinafter collectiv

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Simon Flaherty and Mary Flaherty (Claimants) v. A.G. Edwards & Sons, Inc. and Kerry Constantine Geaneas (Respondents) Case Number: 03-05307 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Simon Flaherty ("S. Flaherty") and Mary Flaherty ("M. Flaherty") hereinafter collectively refer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf th*> Claimant Paul Friedberg Names nf the Respondents Citigroup Global Markets, Inc. Jack B. Grubman 03-05302 Hearing Site- Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. RFPRRSFNTATTON OF PARTIES Claimant, Paul Friedberg, hereinafter referred to as "Claimant", was represented by Michael B. Lynch, Esq., Hooper

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David L. Weitzman IRA (Claimant) v. Citigroup Global Markets, Inc. f^k/a Salomon Smith Barney, Inc. and Jack B. Grubnian (Respondents) Case Number: 03-05298 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant David L. Weitzman IRA ("Weitzman") hereinafter referred to as "Claimant": Michael B. Lynch