Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rochelle Brown individually and obo her IRA and Sheldon Brown individually and obo his IRA vs. Irvin W. Rosenzweig, PNC Brokerage Corporation, Nationwide Life Insurance Company, UBS Financial Services, Inc. Case Number: 04-03234 Hearing Site: Philadelphia, PA Nature of the Dispute: Customers vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Roche

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03232 Dale E. Bartch, TTEE of Dale E. Bartch, Amended and Restated Trust Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS; For Claimant, Dale E. Bartch, TTEE of Dale E. Bartch, Amended and Restated Trust ("Claimant"), appeared Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners, Newburgh, NY. For Respondents

CASE: 04-03231 Amy A. Q'Shields, Claimant v. Deutsche Bank Securities Inc., and Harold Walton Zinser, Jr., Respondents ATTORNEYS: Claimant, Amy A. O'Shields, ("Claimant") appeared pro se, Douglasville, GA. For Respondents, Deutsche Bank Securities Inc., and Harold Walton Zinser, Jr., (collectively "Respondents") appeared Lauren Malanga Casey, Esq., of the firm Epstein, Becker & Green, P.C., New York, NY. NATURE OF DISPUTE: Associated Person vs. Member a

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Edward P. Hawkins, Claimant Vs. LCP Capital Corp. and Emanuele A. Scarso, Respondents. Case Number: 01-00074 Hearing Site: Louisville. Kentucky REPRESENTATTON OF PARTIES Claimant Edward P. Hawkins ("Hawkins") was represented by James P. McCrocklin, Esquire, Louisville, Kentucky. Respondents LCP Capital Corp. ("LCP") and Emanuele A. Scarso ("Scarso"), he

Ofl/06/01 THU 11:14 FAX NASD REGULATION Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities Inc, (Claimant) v. Jon Letang and Pierre: Kontani (Respondents). Case Number: QQ-QQ577/ 00-00582 Hearing Site: Houston, Texas. Claimant First Union Securities, Inc. ("First Union") was represented by Diane C. Fischer, Esq., of the firm Katie & Fischer, Ltd. located in Chicago, Illinois. , : Respondent Jon L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the? Claimants Case Number 04-03229 Shirley Rucker and April Dixon Name of thff Respondents Hearing Site- St. Louis, Missouri Merrill Lynch, Pierce, Fenner& Smith, Inc. and Edward D. Jones & Co. QF DISPUTE Customers vs. Member Firms Shirley Rucker ("Rucker") and April Dixon ("Dixon"), hereinafter referred to as Claimants, appeared pro se in this matter. David

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03228 Cynthia Goldsmith & Phyllis H. Arnold, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: For Claimants, Cynthia Goldsmith & Phyllis H. Arnold, ("Claimants"), appeared Joel Finkelstein, Esq., of the firm Finkelstein & Partners, Newburgh, NY. Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronnie Moas (Claimant) v. Ehrenkrantz King Nussbaum, Inc., Anthony Ottimo, Thomas Giugliano, Robert Bursky, and Michael Berlin (Respondents) Case Number: 04-03227 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Ronnie Moas ("Moas") hereinafter referred to as "Claimant" appeared pro se.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bennett E. Roth (Claimant) v. Citigroup Global Markets, Inc. and Michael Engle Peacock (Respondents) Case Number: 04-03225 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Bennett E. Roth ("Roth") hereinafter referred to as "Claimant": Alan P. Fraade, Esq., Mintz & Fraade, P.C., New York, NY.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Gary H. Meyer and Case Number: 04-03206 Hearing Site: Houston, Texas Names of Respondents Prudential Equity Group, LLC, and Robert G, Florance NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Gary H. Meyer ("Claimant") was represented by Robert E. Lapin, Esq., Lapin & Landa, LLP, Houston, Texas. Pru