Award NASD Dispute Resolution In the Matter of the Arbitration Between: Moshe Marc Cohen ("Claimant") vs. 1717 Capital Management Company and Nationwide Provident ("Respondents") Case Number: 04-05841 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Moshe Marc Cohen hereinafter referred to as ("Claimant"): Mark A. Susswein, Esq., Liddle & Robinson, L.L.P., New Yor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Peter and Carrie Wiesel Names of the Respondent Morgan Stanley DW, Inc. Randolph Zimmer Cast* •Nnmher 04-05838 aring Site- Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Peter and Carrie Wiesel, hereinafter collectively referred to as "Claimants", were repre

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant ' ' Case Number- 04-05824 Lawrence A. Simpson, Jr. Names of the Respondents Hearing Site- Washington, D.C. Legacy Financial Services, Inc. Joseph Karsner Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OFPARTTF.S Claimant, Lawrence A. Simpson, Jr. hereinafter referred to as "Claimant", was represented by Wi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard Seller and Shun C. Soller CMT IRA Custodian, Claimants vs. Bidwell & Company, Respondent Case Number: 01-00261 Hearing Site: Portland, Oregon For Claimants: Kim T. Buckley, Esq. Esler, Stephens & Buckley Portland, Oregon For Respondent: Kevin C. Peck Bidwell & Company Portland, Oregon CASE INFORMATION Statement of Claim filed on or about: January 29

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William Anderson and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Sally Louie Kline Case Number: 04-05821 Hearing Site: Houston* Texas NATURE OF DISPUTE Associated Person v. Member Firm and Associated Person REPRESENTATION OF PARTIES William Anderson ("Claimant") was represented by Alan N. Magenheim, Esq., Magenheim &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tammy L. Sullivan (Claimant) v. Advest, Inc. and Patrick Buettner (Respondents) Case Number: 04-05820 Hearing Site: Buffalo, New York Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Tammy L. Sullivan hereinafter referred to as "Claimant": Larry A. Sebastian, Esq., Capretz & Associates, Newport Beach, CA. Respondents Advest, Inc.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05819 Douglas S. Bohs, Claimant v. Citigroup Global Markets, Inc., Respondent ATTORNEYS: Claimant Douglas S. Bohs ("Claimant") appeared pro se, Fort Wayne, IN. For Respondent Citigroup Global Markets, Inc. ("Respondent") appeared Ann Parry, Esq., in- house counsel, Citigroup Global Markets, Inc., New York, NY. NATURE OF DISPUTE: Customer vs. Member. DATE FILED: August 12, 2004. CASE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: PIM Financial Services, Inc., Claimant v. Phuong L. Huynh a/k/a Lana Huynh, Respondent Case Number: 04-05815 Hearing Site: San Diego, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Mary Limoges PIM Financial Services, Inc. San Marcos, California For Respondent: Phuong L. Huynh a/k/a Lana Huynh In Propria Persona

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the ClaimanT Case Number: 04-05812 April E. Miller Name of the Respondents Hearing Site: Dallas, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc. and Stanley A Weron NATURE OF THE DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant April E. Miller, hereinafter referred to as "Claimant": Jeff M. Travis, Esq., of Travis & T

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05804 Wai L. Moy, Claimant v. Citicorp Investment Services and Daphne Tan, Respondents ATTORNEYS: Claimant Wai L. Moy ("Claimant") appeared pro se. Flushing, NY. For Respondents Citicorp Investment Services and Daphne Tan (collectively "Respondents") appeared David Gorfinkel, Esq., in-house counsel, Citicorp Investment Services, Long Island City, NY. NATURE OF DISPUTE: Customer v. Member