Award NASD Dispute Resolution In the Matter of the Arbitration Between: 04-05412 Edward M. Rubio p T?p|gpnnHpntg/Pmmtnr-mqjniflnts fT p flrJTifi S^f Dallas, Texas Lincoln Financial Advisors Corp.; The Lincoln National Life Ins. Co.; and, Charles Gary Shimmin NATURE Associated Person v. Member Firms and Associated Person ppy< 2\TATinN Claimant/Counter-Respoiiderit Edward M. Rubio, hereinafter referred to as "Rubio": Karen Jewel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Raike Financial Group, Inc. (Claimant) v. David Rondeau, Marcus Hartel, and Gary Waye II (Respondents) Case Number: 04-05407 Hearing Site: Buffalo, New York Nature of the Dispute: Member vs. Associated Persons REPRESENTATION OF PARTIES Claimant Raike Financial Group, Inc. ("Raike Financial") hereinafter referred to as "Claimant": Christopher Casdia, Chief Operating Officer, Raik

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants B&G Tobacco & Candy Co., Inc., Eisa Ganim, Shihadeh Ganim, Ibrahim Ganim, Mazen Ganim, Issa Baba, Baba Family Partnership, Ltd., and Ibrahim & Mazen Ganim Family Partnership, Ltd. and Case Number: 04-05397 Hearing Site: Houston, Texas Names of Respondents McDonald Investments, Inc. and Rita Mansour NATURE OF DISPUTE Customers v. Member Firm

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant. Wanda Wiseman vs. Case Number: 04-05380 Names of Respondents, Hearing Site: Houston, Texas Merrill Lynch, Pierce, Fenner & Smith Incorporated And Branson Bywaters. NATURE OF DISPUTE Customer versus Member and an Associated Person. REPRESENTATION OF PARTIES Claimant, Wanda Wiseman, hereinafter referred to as "Claimant": Jeanne Crandall, Es

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-05367 Jerry M. Turk and Helen R. Turk Names of the Respondents Hearing Site: Tampa, FL Sterne Agee Capital Markets, Inc. Robert Marvin Harris, III Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jerry M. Turk and Helen R. Turk, hereinafter collectively referred to as "Claimants"

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Alberta Bove Names of the Respondents Merrill Lynch, Pierce, Former & Smith, Inc. Karl Seitz , Case Number: 04-05359 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTTES For Alberta Bove, hereinafter referred to as "Claimant": Scott L. Silver, Esq., Blum & Silver,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert C. Rachel (Claimant) vs. Donna Sulzbach and Vestax Securities Corp. n/k/a Multi- Financial Securities Corp. (Respondents) Case Number: 04-05356 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant Robert C. Rachel hereinafter referred to as "Claimant": John S. Chapman, Esq., Cleveland, OH. Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: National Securities Corporation (Claimant) v. Erroll Wilson (Respondent) Case Number: 04-05354 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, National Securities Corporation ("NSC") hereinafter referred to as "Claimant": Martin S. Cole, Esq., Law Offices of Martin S. Cole, New York, NY. Previously represented

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James F. Byrnes (Claimant) v. Morgan Stanley Dean Witter & Co., and Robert P. Hart (Respondents) Case Number: 04-05351 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant James F. Byrnes ("Byrnes") hereinafter referred to as "Claimant": John J. Blanchard, Esq., Sea Girt, NJ. Respondent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00231 Curt Anthony Miles, claimant vs. Morgan Stanley Dean Witter, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Sherman Oaks, CA. For Respondents appeared David P. Restaino, Esq., in-house counsel, New York, NY. DATE FILED: January 17, 2001. ~~~ CASE SUMMARY: Claimant alleged that respondent made unauthorized margin trades of the Osicom Technologies stock in his IRA and Ro