Award NASD Dispute Resolution In the Matter of the Arbitration Between: Capstone Investments, Inc., Claimant v. Lamon & Stern, Inc., Respondent Case Number: 04-06477 Hearing Site: San Diego, California Nature of the Dispute: Member v. Member REPRESENTATION OF PARTIES For Claimant: Andrew B. Serwin, Esq. Foley & Lardner LLP San Diego, California Scott L. Dahle, Esq. Capstone Investments, Inc. Palos Verdes Estates, California For Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Antonia Honiss (Claimant) v. National Clearing Corp. f7k/a J.B. Oxford & Company (Respondent) Case Number: 01-00294 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant Antonia Honiss ("Honiss") hereinafter referred to as "Claimant" appeared pro se. Respondent National Clearing Corp. #k/a J.B. Oxford & Company ("J.B.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Manohar Hasrajani, Claimant v. Wachovia Securities, LLC, Stephen D, Viets, David L. Kistner, Gordon C. Hammond, and Hughes & Hammond, Respondents , • Case Number: 04-06476 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member, Associated Persons, and Non-Member REPRESENTATION OF PARTIES For Claimant: Michael N. Feder, Esq. Beckley Singleton, CH

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06461 Jeffrey A. Meyerhardt, (Claimant) vs. Citigroup Global Markets, Inc. and Jack B. Grubman, (Respondents) ATTORNEYS: For Claimant appeared Michael B. Lynch, Esq., of the firm Hooper & Weiss, L.L.C., Orlando, FL. For Respondents appeared Mark L. Parmelee, Esq., of the firm Greenberg Traurig LLP, New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FIL

iiooa CASE: 04-06447 Michele S. Matto and Michele S. Matto IRA (Claimants) v. Royal Alliance Associates, Inc. and Joseph Chornyak, Sr. (Respondents) ATTORNEYS: Claimants Michele S. Matto and Michele S. Matto IRA (collectively "Claimants' 1 ) appeared pro se, Port Chariotte, FL. For Respondents Royal Alliance Associates, Inc. and Joseph Chomyak, Sr r (collectively "Respondents'*) appeared Gregory M. Curtey, Esq., in-house counsel, Royal A

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Marilyn Banks and 04-06440 Kansas City, Missouri Name of Respondents Morgan Stanley DW Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Marilyn Banks ("Claimant") was represented by John J. Miller, Esq., Law Office of John J. Miller, P.C., Kansas City, Missouri. Morgan Stanley DW Inc. ("Respondent") was represented by Jos

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charn Chuan Lee, Claimant v. Charles Schwab & Co., Inc., Lawrence Suemitsu Furukawa, and Carol Mitsuko Furukawa, Respondents Case Number: 04-06431 Hearing Site: Honolulu, Hawaii Nature of the Dispute: Associated Person v. Member, Associated Person, and Non-Member REPRESENTATION OF PARTIES For Claimant: Ronald G.S. Au, Esq. Ronald G.S. Au & Associates Honolulu, Hawaii For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Elaine A. Balint and Alexander M. Balint, and Gary Farmer and Jo Farmer Names of the Respondents SAL Financial Services, Inc., Sterne, Agee and Leach, Inc., Aliant Financial Services Corporation Case Number: 04-06430 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Elaine A. Balint

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth Gregoire and Dorothy Gregoire, Kenneth Gregoire, IRA and Dorothy Gregoire, IRA (Claimants) vs. Morgan Stanley DW Inc., and James A. McMahon III (Respondents) Case Number: 04-06425 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Kenneth Gregoire and Dorothy Gregoire ("K & D Gregoire"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elizabeth Lenes (Claimant) v. Morgan Stanley DW, Inc. (Respondent) v. Jonathan Lenes (Third-Party Respondent) Case Number: 04-06423 Hearing Site: Boston, Massachusets Nature of the Dispute: Customer vs. Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Elizabeth Lenes hereinafter referred to as "Claimant": Richard C. Bardi r Esq., Law Office of Richard Bard