NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06547 Kris Karra, (Claimant/Counterclaim Respondent) vs. AOS, Inc., (Respondent/Counterclaim Claimant) ATTORNEYS: ~~^ ~~~~~ Claimant/Counterclaim Respondent appeared pro se, North Vancouver, BC, Canada. For Respondent/Counterclaim Claimant appeared Chief Compliance Officer, Gary M. DeWeese, Chicago, IL. NATURE OF DISPUTE: Customer vs. Member DATE FILED: September 15, 2004 CASE SU

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06545 Edward H. Guarnieri, Claimant v. Robert Cuillo and GunnAllen Financial, Inc., Respondents ATTORNEYS: " ~ For Claimant Edward G, Guarnieri ("Claimant") appeared Travis K. Morton, Esq., of the firm Brady, Nordgren, Klym & Morton, PLLC, Raleigh, NC. Respondent Robert Cuillo did not file a Statement of Answer in this matter. Respondent GunnAllen Financial, Inc. did not file a Statement of

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Patrick Lee and Patrick Lee IRA, (Claimants) vs. Glenn Michael Financial, Inc., Glenn Michael Lanaia, Francine Ann Lanaia, and Morris Angelou, (Respondents) Case Number: 01-00295 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Patrick Lee ("Lee") and Patrick Lee IRA ("Lee IRA"), hereinafter collectively referred to as "Claimants": John T. McGuire, Esq., a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06544 Steven K. and Yasemin S. Miller, Claimants v. Citigroup Global Markets, Inc. fk/a Salomon Smith Barney, Inc., Respondent ATTORNEYS: For Claimants Steven K. and Yasemin S, Miller (collectively "Claimants") appeared Jan Graham, Esq., of the firm Jan Graham Law Offices, Salt Lake City, UT. For Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. ("Respondent") ap

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph and Angelina Parella, Joseph Parella, Angelina Parella f/b/o Daniel Parella and Angelina Parella f/b/o Joseph Parella (Claimants) vs. Milton Koenigsberg and Northeast Securities Incorporated (Respondents) Case Number: 04-06540 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES — - t Claimants Jo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Albert L. Orient, as an Individual and as Trustee of the Albert L. Orient Trust (Claimant) v. Bane One Securities Corporation and Sharlene Pierce (Respondents) Case Number: 04-06539 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Albert L. Orient, as an Individual and as Trustee of the Albert L. Orien

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Helen James, Trustee, on behalf of the Helen James Living Trust and Helen James, individually, Claimants v. Intra-Network Securities, Inc., Richard W. Simpson, and Dennis A. Pearson, Respondents Case Number: 04-06496 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Floyd R. Brown, Esq.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Sanford C. Bernstein & Co., LLC, a wholly owned subsidiary of Alliance Capital Management, L.P. and Case Number: 04-06495 Hearing Site: Chicago, Illinois Name of Respondent Thomas Drake NATURE QF DISPUTE Member v. Associated Person REPRESENTATION QF PARTIES Sanford C. Bernstein & Co., LLC, a wholly owned subsidiary of Alliance Capital Man

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sandra J. Richard and Ronald M. Richard, Jr. (Claimants) v. A.G. Edwards, Greg Hood and Richard lannacone (Respondents) Case Number: 04-06482 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Sandra J. Richard and Ronald M. Richard, Jr. hereinafter collectively referred to as "Claimants": Ste

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Billy Pendleton and Freda Pendleton v. 04-06479 Louisville, Kentucky Respondent Morgan Keegan & Company, Inc. NATURE OF DISPUTE Customers v. Member Firm REPRESENTATION OF PARTIES Billy Pendleton and Freda Pendleton ("Claimants") were represented by Douglas T. Logsdon, Esq., and Robert E. Maclin, IE, Esq., of McBrayer, McGinnis Leslie & Kirkland, PLLC, Le