Award NASD Dispute Resolution In the Matter of the Arbitration Between: John L. Douglas, Claimant v. Firebrand Financial Group, Inc., GKN Securities Corporation, BNY Clearing Services LLC also known as Schroder & Co., Inc., Edward B. Martin, Jeffrey A. Smith, Marty R. Schaffer and Robert H. Gladstone, Respondents Case Number: 03-05149 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Members, Non-Member and Associated Persons

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Martha E. Jester IRA Name nf the Respondents Merrill Lynch, Pierce, Fenner, & Smith, Inc. J. Brendan Kelleher Case Number: 03-05143 Hearing Site: Charlotte, North Carolina Nature of Dispute: Customer vs. Member and Associated Person. KKPKF.SFNTATTON OF PAKTTF.S Claimant, Martha E. Jester IRA, hereinafter referred to as "Claimant", was

- i Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank and Cynthia Wittosch, (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and David P. Conrad, (Respondents) Case Number: 03-05142 Hearing Site: Chicago, IL Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Frank and Cynthia Wittosch (hereinafter collectively referred to as "Claimants"):

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Florian and Dawn Weinhaus v. 03-05141 Minneapolis, Minnesota Respondents Securities America, Inc., Charles A. Blossom and Prestige Planning, Inc. Nature of Dispute: Customers v. Member, Associated Person and Non-Member REPRESENTATION OF PARTIES Florian and Dawn Weinhaus ("Claimants") were represented by Harvey H. Eckart, Esq., St. Paul, Minnesota and Tod

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of the Claimant Case Number: 01-01534 James M. McEntyre, IRA Name of the Respondent Hearing Site: Tampa, Florida E*Trade Securities, Inc. REPRESENTATION OF PARTIES For James M. McEntyre, IRA, hereinafter referred to as "Claimant": James M. McEntyre, Sarasota, FL. For E*Trade Securities, Inc., hereinafter referred to as "Respondent": James W. Deacon, Esq. of Kel

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05139 Julia A. Strong, Claimant v. Patricia Ruth Huelskoketter and Commerce Brokerage Services, Inc., Respondents. ATTORNEYS: Claimant, Julia A. Strong, ("Claimant"), appeared pro se, St. Louis, MO. For Respondents, Patricia Ruth Huelskoketter and Commerce Brokerage Services, Inc., (collectively "Respondents"), appeared M. Courtney Koger, Esq., of the firm Sanders Conkright & Warren LLP.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Werner Conn and Rita P. Cohn (Claimants) v. Vanguard Marketing Corporation (Respondent) Case Number: 03-05138 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member. REPRESENTATION OF PARTIES Claimants Werner Cohn and Rita P. Cohn ("The Conns") hereinafter collectively referred to as "Claimants" appeared pro se through Werner Cohn. Respondent Vanguard Ma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Garland F. Gonseth and Bernard F. Larkin (Claimants) v. McDonald Investments, Inc. and David E. Soderquist (Respondents) Case Number: 03-05133 Hearing Site: Albany, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Garland F. Gonseth ("Gonseth") and Bernard F. Larkin ("Larkin") hereinafter collectively referred to as "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fahnestock & Co., Inc. (Claimant) v. Patrice A. Kaul (Respondent) Case Number: 03-05132 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Fahnestock & Co., Inc. ("Fahnestock") hereinafter referred to as "Claimant": Cory M. Sobel, Esq., previously Eric J. Shames, Esq., Fahnestock & Co., Inc., New York, NY. Res

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shoshana M. Benes (Claimant) v. Dreyfus Service Corporation and Jeffrey P. Teplansky (Respondents) Case Number: 03-05131 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Shoshana M. Benes ("Benes") hereinafter referred to as "Claimant": Nicholas J. Giuliano, Esq., Philadelphia, PA.