Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-00303 CCJ Trust Mittersill Investment Partners Names of the Respondents Hearing Site: Boca Raton, FL CIBC World Markets Corp. Emanuel A. Scarso Joseph C. Quattrochi LCP Capital Corp. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For CCJ Trust ("CCJ") and Mittersill Investment Par

CASE: 04-06901 First Montauk Securities Corp., Claimant v. Christian Eminente, Respondent ATTORNEYS: For Claimant First Montauk Securities Corp. ("Claimant") appeared Michael S. Colombo, of Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent Christian Eminente ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: September 30, 2004. CASE SUMMARY: Claimant alleged th

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carolyn S. Russell and Lindsay C. Russell JTWROS, Carolyn Russell SEP, and Carolyn S. Russell IRRA (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Sally Ann Weger (Respondents) Case Number: 04-06872 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Carolyn S. Russell and Lindsay

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06870 National Securities Corporation, Claimant v. Calogero Mannino, Respondent ATTORNEYS: For Claimant National Securities Corporation ("Claimant") appeared Michael S. Colombo, of Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent Calogero Mannino ("Respondent") appeared pro se, Astoria, NY. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: September 29, 2004.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: George Potter and Antonietta M. Potter JTTEN; George Potter and Deborah D. Lee JTWROS, Claimants v. Morgan Stanley DW Inc., Respondent Case Number: 04-06868 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: SalimN. Turk, Esq. Liberatore & Turk Los Angeles, California For Respondent: Ronald E. Wood, E

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Bo Hammerich and Case Number: 04-06842 Hearing Site: Oklahoma City, Oklahoma Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Bo Hammerich ("Hammerich" or "Claimant") was represented by A. Daniel Woska, Esq., Woska & Hayes, L.L.P., Oklahoma City, Oklahoma. Merril

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Thomas Ries and Ariane Ries and Case Number: 04-06829 Hearing Site: Chicago, Illinois Respondent Fidelity Brokerage Services, LLC. NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES Thomas Ries and Ariane Ries, ("Claimants"), located in Chicago, Illinois were pro se. Fidelity Brokerage Services, LLC., ("Respondent"), or, ("Fidelity"), was rep

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant/Counter-Respondent Mutual of Omaha Investor Services, Inc. v. Respondent/Counter-Claimant Nikoh Securities Corporation Case Number: 04-06815 Hearing Site: Omaha, Nebraska NATURE OF DISPUTE Member v. Member and Member v. Member REPRESENTATION OF PARTIES Mutual of Omaha Investor Services, Inc. ("Mutual of Omaha" or "Claimant") was represented by David A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald Pozza (Claimant) vs. TransAmerica Financial Advisors, Inc. f/k/a TransAmerica Financial Resources and Eric King (Respondents) Case Number: 04-06810 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Donald Pozza hereinafter referred to as "Claimant": Lawrence J. Scanlon, Esq., Michael J. Elliot

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles D. Manning and Leni C. Manning, Claimants v. Scottrade, Inc., Rodger O. Riney, Randle D, Copeland, and Deric Schare, Respondents Case Number: 04-06807 Hearing Site: Reno, Nevada Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Charles D. Manning ProSe Minden, Nevada For Respondents: Sherri C. Strand, Esq.