Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Nelson Adler (Claimant) v. Dr. Ulises C. Sabato (Respondent) Case Number: 05-00844 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Customer. REPRESENTATION OF PARTIES Claimant Robert Nelson Adler hereinafter referred to as "Claimant": Christopher G. Massey, Esq., Bressler, Amery & Ross, P.C. New York, NY. Previously represented by Hugo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00843 Pearl Wexler, (Claimant) vs. Morgan Stanley & Co., Inc., (Respondent) ATTORNEYS: " " : For Claimant appeared Mitchell L. Perlstein, Esq., of the firm Investors Law Center, Boca Raton, FL. For Respondent appeared in-house counsel John Castelly, Esq., Purchase, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: February 14, 2005 CASE SUMMARY: Claimant alleged that Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Henry Schiff and Joan Schiff (Claimants) vs. Citigroup Global Markets, Inc. and Bear, Stearns & Co., Inc. (Respondents) Case Number: 05-00837 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members REPRESENTATION OF PARTIES Claimants Henry Schiff (" H. Schiff) and Joan Schiff ("J. Schiff) hereinafter referred to as "Claimants": Robert Weiss, Esq. and Stephen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-00828 Robert K. Mitchell Trust Names of the Respondents Hearing Site: Orlando, Florida Kevin Tuttle John W. DuBrule Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES For Robert K. Mitchell Trust, hereinafter referred to as "Claimant": Robert K. Mitchell, TTEE, Clermont, Florida. Kevin Tuttle ("Tuttle

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Sheets Living Trust u/a dtd 4/04/90, Claimant v. Torrey Pines Securities, Inc. and William F. Gunderson, Respondents Case Number: 05-00825 Hearing She: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California For Responde

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00823 Ronald C. Mueller, (Claimant) vs. Prudential Equity Group, LLC, (Respondent) ATTORNEYS: " Claimant appeared pro se, Yorba Linda, CA. For Respondent appeared in-house counsel Carole A. McDonald, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: February 11, 2005 CASE SUMMARY: Claimant alleged that Respondent placed him in investments that were unsuitable for

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Laverne Gore and Case Number: 05-00820 Hearing Site: Houston, Texas Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Laverne Gore ("Claimant") was represented by Celeste M. Chiaramonte, Esq. and Juan Harold, Esq., Woska & Hayes, LLP, Kingwood, Texas. Merrill Lynch Pierce Fenner & Smith

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00486 William J. Melzer, claimant vs. Mark Pressman Associates, respondent. ATTORNEYS: Claimant appeared Pro Se, Mendocino, CA. For Respondents appeared Mark Pressman, President, San Francisco, CA. DATE FILED: January 30, 2001 CASE SUMMARY: Claimant alleged that respondent, upon closing his firm, breached the employment agreement by failing to provide the required investment banking

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00078 Leonard B. Stern, claimant vs. Win Capital Corporation and Jerome Feldman, respondents. ATTORNEYS: For Claimant, Leonard B. Stern ("Claimant"), appeared Robert J. Pouison, Jr. Esq. Cooperstown, NY. Respondents, Win Capital Corporation and Jerome Feldman ("Respondents"), appeared through their Compliance Director, Mark Straubel, Bayville, NY. DATE FILED: January 10, 2000 C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-00814 Memory G. Bryant Names of the Respondents Hearing Site: Birmingham, Alabama UBS Financial Services Inc. Morgan Keegan & Company Inc. Malon Murray Wickham Nature of the Dispute: Customer vs. Member and Associated Person, REPRESENTATION OF PARTIES Memory G. Bryant, hereinafter referred to as "Claimant", appeared pro se. For Re