Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward Chaves (Claimant) v. Advest, Inc. (Respondent) Case Number: 04-03268 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Edward Chaves hereinafter referred to as "Claimant": Howard M. Rosenfield, Esq., Farmington, CT. Respondent Advest, Inc. hereinafter referred to as "Respondent": Cynthia A. Feigin, Esq., Car

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Fayez Khalil and Khalil Hassan v. Respondents Leonard & Company a/k/a Leonard Financial Corp., and Alfred M. Allos And Counter-Claimant Alfred M. Allos v. Counter-Respondents Fayez Khalil and Khalil Hassan And Third-Party Claimant Alfred M. Allos v. Third-Party Respondent Kal Khalil And Third-Party Claimant Leonard

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Maureen Schleisner Name of the Respondents Sentra Securities Corporation and Stuart Barry Katz Case Number 04-03258 Hearing Site: Milwaukee, Wisconsin Nature of the Dispute: Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant, Maureen Schleisner ("Schleisner"), hereinafter referred to as "Claimant 11 : Brian

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bernard Schwartz, Claimant v. Morgan Stanley Dean Witter s Inc. and Mace Tamse, Respondents Case Number: 01-00077 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Bernard Schwartz, hereinafter referred to as "Claimant": Albert A. Rapoport, Esq., Boca Raton, Florida. For Respondents Morgan Stanley Dean Witter, Inc. ("MSDW") and Mace Tamse ('Tamse"):

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Gregory and Donna Schultz and Peregrine Financials & Securities, Inc., Thomas Eugene Pearson, Russell Ralph Wasendorf, Sr., and Patrick S. Jage Case Number: 04-03253 Hearing Site: Chicago, Illinois NATURE OF DISPUTE Customers v. Terminated Member Firm and Associated Persons REPRESENTATION OF PARTIES Gregory and Donna Schultz ("Claimants"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03248 Curtis S. Garth Names of the Respondents Hearing Site: New Orleans, Louisiana Bane One Securities Corporation Dean Witter Reynolds, Inc. (Morgan Stanley) Pershing, a division of Donaldson, Lufkin & Jenrette Securities Corp. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Curtis S. Garth, hereinafter referre

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Bruce Konrady Names of the Respondents FSC Securities Corporation Robert Vanderpool Case Number: 04-03243 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Bruce Konrady, hereinafter referred to as "Claimant": Alan C. Espy, Esq., Law Offices of Alan C.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mueid Dee Elias, Claimant v. Morgan Stanley DW Inc. and Wayne Guzman, Respondents Case Number: 04-03240 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy D. McGonigle, Esq. Attorney at Law Santa Monica, California For Respondent Morgan Stanley DW Inc.: Paul J. Schum

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Virginia Jensen, Claimant v. ReliaStar Life Insurance Company, WM Financial Services, Inc., and Jimi Singh Sidhu, Respondents ReliaStar Life Insurance Company, Cross-Claimant v. WM Financial Services, Inc., Cross- Respondent Case Number: 04-03237 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Non-Member, Member, and Associated Person Non-Member v. Membe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thp Claimant Paae Number- 04-03235 Julia E. Ebron "Hearing Site- Washington, D.C. Kenneth E. Labowitz, Guardian and Conservator for Eloise O'Connor Nature of the Dispute: Associated Person v. Customer. RKPHKSF.TVTATTON OF PARTIES Claimant, Julia E. Ebron, hereinafter referred to as "Claimant", was represented by Scott T. Beall, Esq., Tate, Lazarini & Beall, PLC,