Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Jaeger, Gayleen Jaeger, and Jaeger Homes, Inc., (Claimants) vs. Thomas T. O'Brien, Trubee, Collins & Co., Inc., and William Pictor, (Respondents) Case Number: 01-00229 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimants, Michael Jaeger ("M. Jaeger"), Gayleen Jaeger ("G. Jaeger"), and Jaeger Homes, Inc. ("JHI"), hereinafter collectively referred to as "Claiman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary R. Benton (Claimant) v. Butler Wick & Co., Inc., Barbara D' Alesandro, and Robert Gardner (Respondents) Case Number: 04-05302 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Mary R. Benton ("Benton") hereinafter referred to as "Claimant": James S. Jones, Esq., James S. Jones, L.P.A., Poland,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Tyrone M. Ball and 04-05292 Chicago, Illinois Name of Respondents Southwest Securities, Inc. EXT ELECTRONIC EXCHANGE TRADING, INC. Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Tyrone M. Ball ("Claimant") appeared pro se. Southwest Securities, Inc. ("Respondent SWS") was represented by Steven R. Pitzner, Esq., Roach LL

t1-30-2004 09:45a m From- ~ " ~ ~ T-827 p. 002/003 F-705 NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05291 Parker/Hunter Incorporated, Claimant v. Gail A- Mariana, Respondent ATTORNEYS: For Claimant Parker/Hunter Incorporated ("Claimant") appeared Jay W. Lewis, Esq., in-house counsel, P raker/Hunter Incorporated, Pittsburgh, PA. Respondent GaiL A- Mariana ("Respondent 1 *) aprpeared pro se, Wexford, PA.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William L. Earth, on Behalf of the William L. Barth IRA Rollover Dated 3/9/99 and IRA Rollover Dated 9/22/99, Claimant v. Wachovia Securities, LLC, Prudential Equity Group, LLC #k/a Prudential Securities, Inc., and David Harrison Rascoe, Respondents Case Number: 04-05286 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Bonnie E. Loveless Name of the Respondent First Heartland Capital Name of the Third-Party Respondent Ronald Dieht— Case Number: 04-05284 Hearing Site: Memphis, Tennessee Nature of the Dispute: Customer vs. Member vs. Associated Person. REPRESENTATION QF PARTIBS For Bonnie E. Loveless ("Loveless"), hereinafter referred to as "Claimant": Richar

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Douglas Berge v. 04-05281 Minneapolis, Minnesota Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Nature of Dispute; Customer v. Member REPRESENTATION OF PARTIES Douglas Berge ("Claimant") was represented by Jon J. Jensen, Esq., of Pearson Christensen, PLLP, Grand Forks, North Dakota. Merrill Lynch Pierce Fenner & Smith, Inc. ("Respondent") was repres

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05277 Mary E. Scott, IRA, Mary E. Scott and H. Claire Scott, JT/WROS, Claimants v. Kevin Ford and Edward D. Jones & Co., Respondents ATTORNEYS: ~~ For Claimants, Mary E. Scott, IRA, Mary E. Scott and H. Claire Scott, JT/WROS, ("Claimants") appeared Mary E. Scott, Boynton Beach, FL. For Respondents, Kevin Ford and Edward D. Jones & Co., ("Respondents"), appeared David J. Simmons, Esq. of

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Roger G. RieflerJTEE FBO Roger G. Riefler Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 04-05262 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Roger G. Riefler, TTEE FBO Roger G. Rief

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05261 Edmund S. Roskoski IRA Names of the Respondents Hearing Site: Orlando, Florida Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. Jack B, Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Edmund S. Roskoski IRA, hereinafter referred to as "Claimant": Douglas H. Gl