Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimant Case Number- 04-06800 Phillip D. Huber Namesjjf the Respondents ' Hearing-Site: Raleigh, North Carolina Sterne, Agee & Leach, Inc. Sterne, Agee & Leach Group, Inc. . , Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant, Phillip D. Huber, hereinafter referred to as "Claimant", was represented by Andrew O.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-06775 Melinda Lampariello, Trustee Jesse L. Lampariello IRR Trust Melinda Lampariello Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Melinda Lamp

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Douglas M. Schmidt Names of the Respondents Nicholas S. Matulich and Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 01-00301 Hearing Site: New Orleans, LA REPRESENTATION OF PARTIES For Douglas M. Schmidt, hereinafter referred to as "Claimant": George Denegre, Jr., Esq., Liskow & Lewis, New Orleans, LA. For Respondents Nicholas S. Matulich (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Barbara Nguyen Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 04-06732 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member, REPRESENTATION OF PARTIES For Barbara Nguyen, hereinafter referred to as "Claimant": Randall Place, Esq., Blum & Silver, L.L.P., Coral Springs, Florida. For Merri

Award NASD Dispute Resolution In the Matter of the Arbitration Between: J.B. Hanauer & Co., (Claimant) v. Michael Napoli (Respondent) Case Number: 04-06726 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant J.B. Hanauer & Co. hereinafter referred to as "Claimant": David J. Butler, Esq., Dillon, Bitar & Luther, LLC, Morristown, NJ. Respondent Michael F. Napoli hereinafter referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Renee J. Dokter (Claimant) v. Merrill Lynch Pierce Fenner and Smith Inc., and David Ashe (Respondents) Case Number: 04-06723 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Renee J. Dokter ("Dokter") hereinafter referred to as "Claimant": William G. Chris, Esq. and Brian K. Harnak, Esq., Roderick Li

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06720 National Securities Corporation, Claimant v. Larry Nickens, Respondent ATTORNEYS: For Claimant National Securities Corporation ("Claimant") appeared Michael S. Colombo, President, Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent Larry Nickens ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06710 Loretto Renshaw (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) ATTORNEYS: For Claimant Loretto Renshaw ("Claimant") appeared Frank McCullough, CPA, of McCullough and Company, Newton Square, PA. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Alan S. Rafterman, Esq., in-house counsel, Merrill Lynch, Pierce, Fenner & Smith, Inc.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Curtis S. Garth Names of the Respondents Trader Mart La Salle St. Securities, LLC National Financial Services, LLC Case Number: 04-06706 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES Curtis S. Garth, hereinafter referred to as "Claimant", appeared pro se. For Trad

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant , Case Number! 04-06697 - Morgan Keegan & Company, Inc. , Name nf the Respondent ' Hearing Site- Raleigh, North Carolina Ralph Elmer Huey, Jr. > Name nf the Third-Part Wachovia Securities, LLC Nature of the Dispute: Member vs. Associated Person. i RF.PRFSFNTATTON OF PAKTTFS Claimant, Morgan Keegan & Company, Inc., hereinafter referred to as "Clai