AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Cynthia Reithel and Name of Respondent Morgan Stanley DW, Inc. 1 Case Number: .04-08804 Hearing Site: Chicago, Illinois NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Cynthia Reithel ("Claimant") Was represented by James A. McGurk, Esq., The Law Offices of James A. McGurk,. PC,. Chicago, Illinois,. ' .'."'•;

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Penson Financial Services, Inc., Claimant v. Eel River Investment Company, Respondent Case Number: 04-08802 Hearing Site: Seattle, Washington Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For Claimant Penson Financial Services, Inc.: Wm. David Simmons, Esq. McGuire, Craddock & Strother, P.C. Dallas, Texas For Respondent Eel River Investme

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thfr Claimant Page Number 04-08799 Carol Ann Mclnerney nf the RpgpnnHpntg Hearing Site- Philadelphia, PA Morgan Stanley DW, Inc. Citigroup Global Markets, Inc. Jack Zotti Nature of the Dispute: Customer vs. Members and Associated Person. RFPRFSFNTATTON OF PARTTRS Claimant, Carol Ann Mclnerney, hereinafter referred to as "Claimant", was represented by Chad N. Cagan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Andrew Andrews (Claimant) vs. Prudential Securities, Inc. n/k/a Wachovia Securities, Prudential Securities, Inc.. n/k/a Prudential Equity Group LLC and Abram Gorsuch (Respondents) Case Number: 04-08797 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimant Andrew Andrews hereinafter referred to as "Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scarlett Mendoza (Claimant) v. Emcor Securities, Inc. (Respondent) Case Number: 04-08796 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Scarlett Mendoza ("Mendoza") hereinafter referred to as "Claimant": Brian J. Neville, Esq., Law Offices of Brian J. Neville PC, New York, NY. Respondent, Emcor Securities,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerzy Chudy (Claimant) v. National Securities Corporation, John James Wilson, and Ludmilla Bernadic Marshall (Respondents) Case Number: 04-08795 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Jerzy Chudy ("Chudy") hereinafter referred to as "Claimant": Jeffrey Chudy, Lyndhurst, NJ. Respond

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: PaineWebbe^r Incorporated, (Claimant) v. Orwell Warren O'Keefe, (Respondent), v. PaineWebber Incorporated (Counterclaim Respondent), Jody Thompson and Marcus Pelham- Webb (Third-Party Respondents) Case Number: 01-00424 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant/Counterclaim Respondent, PaineWebber Incorporated ("PaineWebber"): Romaine L. Gardn

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marleah Llewellyn, Claimant v. Citigroup Global Markets, Inc., Respondent Case Number: 04-08781 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Jeffrey B. Musslewhite, Esq. Woska and Hayes, LLP Kingwood, Texas For Respondent: Hugo A. Hilgendorf, Esq. Citigroup Global Markets, Inc. New York, New York

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Mr. John W. Speer and Mrs. Jennifer Speer; Mr. John W. Speer and Mrs. Jennifer Speer, JTWROS; and Anges J. Speer Dec'd IRA FBO Mr. John W. Speer as Beneficiary Names of the Respondents Merrill Lynch Charles R. Mayn Case Number: 04-08776 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Assoc

Award NASD Dispute Resolution In the Mattergfthe Arbitration Between: Sophia and Elmer Oerter Charitable Foundation, Case Number: 04-08766 Claimants, vs. Edward Jones Trust Company, a Division of Hearing Site: St. Louis, Missouri Boone National Savings and Loan Association, F.A., Respondents. Nature of the Dispute: Customer vs. Non-Member Firm REPRESENTATION OF PARTIES Sophia and Elmer Oerter Charitable Foundation (the "Foundation"), hereina