Award NASD Dispute Resolution In the Matter of the Arbitration Between: Estate of James A. Poulis, Claimant v. Citicorp Investment Services and Glen Jay Kramer, Respondents Case Number: 04-05803 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Thomas J. Hanrahan, Esq. Glen Rock, New Jersey For Respondents: David Gorfinkel, Esq. Citicorp Investment Services

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brian Goldstein (Claimant) v. Advest, Inc. and Robert Procida (Respondents) Case Number: 04-05794 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Brian Goldstein ("Goldstein") hereinafter referred to as "Claimant" appeared pro se. Respondents Advest, Inc. ("Advest") and Robert Procida ("Pr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Gary Arth and Pamela Arth Name of the Respondent A.G. Edwards & Sons, Inc. Case Number: 04-05786 Hearing Site: St. Louis, Missouri Nature of the Dispute: Customers vs. Member Firm REPRESENTATION OF PARTIES Claimants, Gary Arth and Pamela Arth (the "Arths"), hereinafter collectively referred to as "Claimants": Steven W. Koslovsky, Esq. of Marylan

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION MODIFIED AWARD CASE: 04-05777 William D. Jordan, Claimant v. Scottrade, Inc., Respondent ATTORNEYS: Claimant William D. Jordan ("Claimant") appeared pro se, San Carlos, CA. For Respondent Scottrade, Inc., ("Respondent") appeared Andrew C. Small, Esq., in-house counsel, Scottrade, Inc., St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member. DATE FILED: August 11, 2004. CASE SUMMARY: Claima

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Terral Yoder, (Claimant) vs. Glenn Michael Financial, Inc., Robert Cuillo, and Sean Mescall, (Respondents) Case Number: 01-00260 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant, Terral Yoder, hereinafter referred to as "Claimant": Gregory R. Elder, Esq., Barkan & Robon Ltd., Maumee, OH. Respondents, Glenn Michael Financial, Inc. ("GMF") and Robert Cuillo ("Cuill

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:00-00592 Jamel Bourazak and Joyce Bourazak, claimants vs. A.G. Edwards & Sons, Inc. and Thomas Henrichs, respondents. ATTORNEYS: For Claimants Jamel Bourazak and Joyce Bourazak appeared Lee C. Graves, Esq., Peoria, IL. For Respondents A.G. Edwards & Sons, Inc. and Thomas Henrichs appeared, in-house counsel, M. Jane Matoesian, Esq., St. Louis, MO. DATE FILED: February 10, 2000 CASE

NASD DISPUTE RESOLUTION AWARD WASP DISPUTE RESOLUTION CASE: 04-05770 Surcsh Marisetty (Claimant) v. E*Tradc Securities, Inc. (Respondent) ATTORNEYS: Claimant Suresh Marisetty ("Claimant") appealed pro se> Fremont, CA, For Respondent B*Tradc Securities, Inc. ("Respondent") appeared John Bersm, Esq., in-house counsel, E*Trade Securities, Inc., Rancho Cordova, CA. NATURE OF DISPUTE: Customer vs. Member. DATE FILED: August 9,2004. CASE SUMMARY: Clai

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05769 Morton I. Zeff Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Marc Tamse Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Morton I. Zeff, hereinafter referred to as "Claimant": Randall Place, Esq. and Scott Silver, Esq., Blum and Silver

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Geraldine E. Rust Randall W. Rust, Custodian for Geraldine E. Rust Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Michael R. Crossett Marion Moore D.H. Rice Case Number: 04-05752 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Billy F. and Judy Adams and Case Number: 04-05747 Hearing Site: Houston, Texas Names of Respondents Morgan Stanley DW, Inc., and Constance Carpeno Paddock NATURE OF DISPUTE Customers v. Member Firm and Associated Person OF PARTS Billy F. and Judy Adams ("Claimants") were represented by Donald M. Feferman, Esq., The Law Office of Donald M. Fe