NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07519 Jeffrey R. Chicola, Claimant v. Patrick Murtagh, Respondent ATTORNEYS: For Claimant Jeffrey R. Chicola ("Claimant") appeared M. David Sayid, Esq., of the firm Sayid and Associates, LLP, New York, NY. Respondent Patrick Murtagh ("Respondent") appeared pro se, Brick, NJ. NATURE OF DISPUTE: Associated Person vs. Associated Person. DATE FILED: October 26, 2004. CASE SUMMARY: Claima

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia Sagawa (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Edward Alan Conklin, Sr. (Respondents) Case Number: 04-07518 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Patricia Sagawa ("Sagawa") hereinafter referred to as "Claimant": Paul K. Stecker, Esq., Phillips Lytle, LLP,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer& Co. Inc., Claimant v. Jonathan A. Nguyen, Respondent Case Number: 04-07517 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Andrew J. Kohler, Esq. Oppenheimer & Co. Inc. New York, New York CASE INFORMATION Statement of Claim filed: October 26,2004 Claimant's Uniform Submissio

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-00333 Joan Hunsberger and Douglas Holley as Co-Trustees of the Holley Irrevocable Family Trust Naomi Holley as Beneficiary of the Holley Irrevocable Family Trust YAD 11/20/92 Names of the Respondents Hearing Site: Boca Raton, FL CIBC Oppenheimer, Corp. Lawrence S. Rule, Jr. Arthur W. Lewis Nature of the Dispute: Custo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Maurice Friedland, as Trustee of The Stanley Halpern Trust Case No. 00-00608 Names of Respondents R.D. White & Co., Inc. Charles Principato John Robert Piscopo REPRESENTATION OF PARTIES For Maurice Friedland, as Trustee of The Stanley Halpern Trust ("HalpenT), hereinafter referred to as "Claimant**: Jeffrey S. Gmbman, Esq., Stollman and Grub

Stipulated Award NASD Dispute Resolution In The Matter of the Arbitration Between: Morgan Stanley D\V Inc. (formerly Dean Witter Reynolds Inc.) and Morgan Stanley Funding Services Corp. Claimants, CaseHuinber: 04-07514 .Vs. Hearing Site: Chicago, Illinois John'?. Hansen, Respondent. NATURE OF THE DISPUTE " ' ' . , ' . , . ' P| .. Member and Non-Member v. Associated Person , ' •

Stipulated Award NASD Dispute Resolution In the Matter of thfe Aibitration Between: Name nf thp Claimant Peggy D. McReynolds Names nftht* "Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Helen S. Hoffinan ; 04-07482 Hearing Site: Memphis, Tennessee Nature of the Dispute: Customer v. Member and Associated Person. RFPRFSffNTATTON OF PARTTFS Claimant, Peggy D. McReynolds, hereinafter referred to as "Claimant", was represented by A.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nelson P. Chia, Claimant v. Larry Richard Law and JRL Capital Corporation, Respondents Case Number: 04-07479 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person vs. Associated Person and Member REPRESENTATION OF PARTIES For Claimant: Robert E. Thompson, Esq. Law Offices of Robert E. Thompson San Francisco, California For Respondents: Richard H. R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Montauk Securities Corp., Claimant v. Michael Poutre and Shlomi Eplboim, Respondents Case Number: 04-07478 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Persons REPRESENTATION OF PARTIES For Claimant: Joel Levinson, Esq. First Montauk Securities, Corp. Red Bank, New Jersey For Respondent Michael Poutre: Michael A. Poutre, II In P

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07472 Marco Alfonsi, Claimant v. Javier Hernandez, Respondent ATTORNEYS: For Claimant Marco Alfonsi ("Claimant") appeared M. David Sayid, Esq., of the firm Sayid and Associates, LLP, New York, NY. Respondent Javier Hernandez ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Associated Person vs. Associated Person. DATE FILED: October 20, 2004. CASE