Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Debra A. Seiden, individually and on behalf of her Elite Account Names of the Respondents Raymond James Financial Services, Inc. Raymond James & Associates, Inc. William T. Koenig III, individually Case Number: 04-03717 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Robert and Betty Sprague Mary McKinney Dorothy Knox Dorothy C. Gervasi William Harper Name of the Respondent Morgan Stanley DW, Inc. Case Number: 04-03714 Hearing Site: Memphis, TN Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For, Robert and Betty Sprague, Mary McKinney, Dorothy Knox, Dorothy C. Gervasi, and

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03712 Lenore Scheiner Jacob Scheiner Names of the Respondents Hearing Site: Boca Raton, Florida Investacorp, Inc. Walter Priebe Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lenore Scheiner and Jacob Scheiner, hereinafter collectively referred to as "Claimants": Michael Ki

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Allen A. Jackson and Case Number: 04-03707 Hearing Site: Houston, Texas Names of Respondents UBS Financial Services, Inc., Christopher Montgomery and J. Shayne Berry NATURE OF DISPUTE Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Allen A. Jackson ("Claimant") was represented by Robert A. Kantas, Esq., Sheperd, Smith

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03698 Charles Schwab & Co., Inc., Claimant v. Brent D. Mblovinsky, Respondent ATTORNEYS: ~~ ~~~~ For Claimant Charles Schwab & Co., Inc. ("Claimant") appeared Brandon K. Hemley, Esq., in- house counsel, Charles Schwab & Co., Inc., San Francisco, CA. Respondent Brent D. Molovinsky ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Customel D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03696 Michael Logan Mindy G. Harper Name of the Respondent Hearing Site: Tampa, FL Tim Logan Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES For Michael Logan and Mindy G. Harper ("Claimant Harper"), hereinafter collectively referred to as "Claimants": Michael Logan, Palmetto, FL. For Tim Logan (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shelah Bennett (Claimant) v, Robert T, Maloney and Prudential Securities, Incorporated n/k/a Prudential Equity Group, LLC (Respondents) Case Number: 04-03692 Hearing Site: New York City, New York Nature of the Dispute: Customer v. Associated Person and Member REPRESENTATION OF PARTIES Claimant Shelah Bennett ("Bennett") hereinafter referred to as "Claimant": Mitchell B. Pollack,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimants Case Number: 01-00109 Erika I. Friedl and Robert R. Friedl Name of the Respondents Hearing Site: Chicago, Illinois LCP Capital Corp., Kevin P. Brody, Leonard J. Inserra, Ross S. Inserra, Gregory E. Ricca, Ronald D. Armitage, David M. Murray, Nicholas A. Cutrone, Anthony J. Aliotta, Jr., Ira B. Newman, Charles S. Stoffers, and Silver Capital Gr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimant Rosa Burney nfthft Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Pare Number 04-03681 Hearing Site: Raleigh, North Carolina Nature of the Dispute: Customer vs. Member. RKPRFSFNTATTON OF PARTIES Claimant, Rosa Bumey, hereinafter referred to as "Claimant", was represented by C. David Mee, Esq., Woska & Hayes, LLP, Kingwood, Texas. Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Scott Macolino and Roger Shaffer Name of the Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Case Number: 04-03671 Hearing Site: Atlanta, Georgia Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Scott Macolino ("Macolino") and Roger Shaffer ("Shaffer"), hereinafter collectively referred to as "Claimants"