Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Floyd R. Hanna Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. John David Clark Case Number: 04-03669 Hearing Site: Little Rock, Arkansas Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Floyd R. Hanna, hereinafter referred to as "Claimant": Charles C. Hunter, Esq., Wo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03659 Kathryn Aho, Personal Representative for the Estate of Inez Helms Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith Incorporated Paul Francis Luther, Merrill Lynch Financial Consultant Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Partington, Claimant v. J.P. Morgan Securities, Inc., Steven Carroll, and Ralph Witherell, Respondents Case Number: 04-03656 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES For Claimant: Irwin G. Stein Law Offices of Timothy A. Canning Novato, California For Respondents: Rob

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Abraham Spieler TTEE FBO Abraham Spieler Names of the Respondents Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. JackB. Grubman Case Number: 04-03655 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PJ For Abraham Spieler TTEE FBO Abraham Spieler, hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Omar S. Jalil (Claimant) v. Merrill Lynch & Company; Merrill Lynch, Pierce, Fenner & Smith, Inc.; and Walter C. Szturma (Respondents) Case Number: 04-03650 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer v. Non-Member, Member, and Associated Person REPRESENTATION OF PARTIES Claimant Omar S. Jalil hereinafter referred to as "Claimant": Robert E. Thompson, Esq., Law

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, of the Claimant Case Number 04-03648 Brandi M. Gaudet e nf the Respondent Hearing Site.' Baltimore, MD T. Rowe Price Investment Services, Inc. Nature of the Dispute: Associated Person vs. Member RFPRFSFNTATTON OF PARTTFS Claimant, Brandi M. Gaudet ("Claimant"), was not represented by counsel and appeared pro se at the hearing. Respondent, T. Rowe Price Investment S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: George Michalowski and Wanda Lewicka (Claimants) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. (Respondent) Case Number: 04-03640 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants George Michalowski ("Michalowski") and Wanda Lewicka ("Lewicka") hereinafter collectively referred to as "Claimant

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03629 Cardinal Securities LLC H. David Coherd Robert L. Rosenstein Names of the Respondents Hearing Site: Atlanta, Georgia Scott F. Koch H.C. Wainwright & Co., Inc. John R. Clarke Nature of the Dispute: Member and Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Cardinal Securities

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Choung Kook Yoo & Myung HWA Yoo (Claimants) vs. Coleman & Company Securities, Inc. and Taeyong Chung (Respondents) Case Number: 01-00107 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants Choung-Kook Yoo and Myung-HWA Yoo, hereinafter collectively referred to as "Claimants": William B, Scoville, Jr., Esq., Bae & Associates, P.C., New York, NY. Respondents Coleman & C

N.A.S.D. REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Edmund Larrabee 97-02567 A.S. Goldmen & Company, Inc.; and Thomas Mahan For Claimant: Edmund Larrabee ("Larrabee") was represented by James J. Eccleston, Esq., of Eccleston & Associates, located in Chicago, Illinois. For Respondents: A.S. Goldmen & Company, Inc. ("A.S. Goldmen") was represented by Glenn A. Duhl, Esq., of Si