Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Paul J. Henderson, Case Number:- 03-04309 Claimant, v. Prudential Equity Group, LLC, Hearing Site: Southfield, Michigan Robert Earle Withers, II, David Harold Jacobsmeyer and Wister White Holt, Sr., Respondents. NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES Claimant, Paul J. Henderson ("Henderson"), her

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donna M. Martin, Claimant v. Jason M. Gerber and Merrill Lynch, Pierce Fenner & Smith, Incorporated, Respondents Case Number: 03-04303 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Cabrelle M. Abel, Esq. Preston, Gates, Ellis, LLP Seattle, Washington For Respondents: Em

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Blaine and Kim Thomas, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc.and Ryan Hancock, Respondents Case Number: 03-04302 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES For Claimants: Richard Hearn, Esq Randy Budge, Esq. Racine, Olson, Nye, Budge & Bailey Pocatello, Idaho For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04300 David Heartsfield Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley DW Inc. Danny Michael Murphy Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For David Heartsfield, hereinafter referred to as "Claimant": W. Scott Newbern, m, Esq., Andrews Moye LLC, Tallahasee, Flo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants James W. Kellstrom Jane M. Kellstrom Names of the Respondents Berthel, Fisher & Company Financial Services, Inc. Max L. Conde Case Number: 03-04298 Hearing Site: Little Rock, Arkansas Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For James W. Kellstrom and Jane M. Kellstrom, hereinafter collecti

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Plaimants f^se Number 03-04296 Charles and Ester Holupka Name of the Respondents: Hearing Site- Pittsburgh, PA PNC Brokerage Corp. Steven A. Greene Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Charles and Ester Holupka , hereinafter collectively referred to as "Claimants", were represented by Vicki Kuft

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04295 Raynor Grant, Claimant v. Morgan Stanley DW Inc. and Michael Shor, Respondents. ATTORNEYS: For Claimant, Raynor Grant, ("Claimant"), appeared Laurie Shelton, Bethany Beach, DE. Respondents, Morga^ Stanley DW Inc. and Michael Shor, (collectively "Respondents") appeared through their in-house counsel Keith Guilfoyle, Esq., New York, NY. NATURE OF DISPUTE: Customer v. Member and Associate

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04294 Dorsey & Company, Inc., Claimant v. Jaime Antonio Flechas, Respondent. ATTORNEYS: For Claimant, Dorsey & Company, Inc., ("Claimant"), appeared its Senior Vice President Raymond A. Thompson, New Orleans, LA. Respondent, Jaime Antonio Flechas, ("Respondent"), did not submit a response to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 12, 2

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Xinang Chen (Claimant) v. Schonfeld Securities, LLC (Respondent) Case Number: 03-04292 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Xinang Chen ("Chen") hereinafter referred to as "Claimant" appeared pro se. Respondent Schonfeld Securities, LLC ("Schonfeld") hereinafter referred to as "Respondent": Marc

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-01447 Emmett A. Herring, Jr. and Elaine H. Litschgi as Co-Trustees and Beneficiaries of the Emmett A. Herring, Jr. Revocable Trust Dated 12/27/91 Names of the Respondents Hearing Site: Tampa, FL Merrill Lynch, Pierce, Fenner & Smith, Inc. Melanie A. Graibus n/k/a Melanie A. Rudolph Lawrence R. Adams Nature of the Disp