Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04907 Robert E. Rast and Linda J. Rast, JTWROS Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB.Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert E. Rast and Linda J. Rast, JTWROS, hereinafter re

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Aida Babajanian vs. Case Number: 04-04900 Hearing Site: Houston, Texas Name of Respondent Compass Brokerage, Inc. NATURE OF CASE Associated Person vs. Member Firm REPRESENTATION OF PARTIES Claimant, Aida Babajanian, of Sugar Land, Texas, appeared pro se. Respondent, Compass Brokerage, Inc., was represented by John W. Lilley, III, Esq.,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Norton Herrick Case No. 01-00208 Hearing Site: Boca Raton, Florida Name of Respondent Harris A. Shapiro REPRESENTATION OF PARTIES For Norton Herrick ("Herrick"), hereinafter referred to as "Claimant": David Richan, Blank Rome Tenzer Greenblatt LLP, New York, New York. For Harris A. Shapiro ("Shapiro"), hereinafter referred to as "Respondent": Da

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Charles M. Whitt, Linda C. Whitt and Charles M. Whitt, custodian for Barry J. Whitt and 04-04899 Kansas City, Missouri Name of Respondents Dimensions Investment Management, Inc. Eric Todd Burns Robert Scott Richardson Shawn Duane Sokolosky Glenn Calvin Rappard James Ervin Fisher, ID Nature of the Dispute: Customers vs. Member and Associat

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Myrna Rasmussen and Case Number: 04-04896 Hearing Site: Omaha, Nebraska Names of Respondents Berthel Fisher & Company Financial Services, Inc. and Emily Jean Halsband Third-Party Claimant Berthel Fisher & Company Financial Services, Inc. and Third-Party Respondent Emily Jean Halsband NATURE OF DISPUTE Customer vs. Member Firm and Assoc

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04887 David Lerner Associates, Claimant v. Clifford Grimm, Respondent ATTORNEYS: For Claimant David Lemer Associates ("Claimant") appeared Thomas J. Ruhle, Compliance Officer, David Lerner Associates, Syosset, NY. Respondent Clifford Grimm ("Respondent") appeared pro se, Greenwich, CT. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: July 7, 2004. CASE SUMMARY: Claimant al

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04886 David Lemer Associates, Inc., Claimant v. William Sullivan, Respondent ATTORNEYS: For Claimant David Lemer Associates, Inc. ("Claimant") appeared Joseph C. Pickard, Esq., in- house counsel, David Lerner Associates, Inc., Syosset, NY. Respondent William Sullivan ("Respondent") appeared pro se, Waterbury, CT. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: July 7, 2004.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04883 David Lerner Associates, Claimant v. Joseph Tiriolo, Respondent ATTORNEYS: For Claimant David Lemer Associates ("Claimant") appeared Thomas J. Ruhle, Jr., Compliance Officer, David Lerner Associates, Syosset, NY. Respondent Joseph Tiriolo ("Respondent") appeared pro se, Milford, CT. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: July 7, 2004. CASE SUMMARY: Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank Paddeau (Claimant) v. Janney Montgomery Scott, LLC and James Pascoe (Respondents) Case Number: 04-04881 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Frank Paddeau ("Paddeau") hereinafter referred to as "Claimant": Matt Turtle, Riverside, CT. Respondents Janney Montgomery Scott, LLC ("J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04870 Damond Horowitz Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Damond Horowitz, hereinafter referred as "Claimant", appeared pro se. For Morgan Stanley DW, Inc., hereinafter referred to as "Respondent": Doreen Young, Esq., Morgan