NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03204 First Montauk Securities, Corp., Claimant v. Stefano Mannino, Respondent ATTORNEYS: For Claimant First Montauk Securities Corp. ("Claimant") appeared Michael S. Colombo, President, Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent Stefano Mannino ("Respondent") appeared pro se, Brooklyn, NY. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: April 30, 2004.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mathew Kaufman (Claimant) v. Prudential Equity Group, LLC and Anthony Cappiello (Respondents) Case Number: 04-03202 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Mathew Kaufman hereinafter referred to as "Claimant": Vincent J. Imbesi, Esq., Avelino & Associates, P.C., New York, NY. Respon

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Maher Mobasher (Claimant) v. Merill Lynch, Pierce, Fenner & Smith, Inc., and Hani Atassi (Respondents) Case Number: 04-03200 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Dr. Maher Mobasher ("Claimant") appeared pro-se. Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Me

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03198 David Greenhouse, Claimant v. Prudential Equity Group, LLC file/a Prudential Securities, lac., Respondent ATTORNEYS: Claimant David Greenhouse C'Claimanr") appeared pro se, Rye, NY- For Respondent Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. ("Respondent") appeared Martia L. Williams, Esq., in-house counsel, Prudential Equity Group, LLC, New York, NY. NATURE O

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James R. Carskadon, and MLFP&S FPO James R. Carskadon IRRA, Claimants v. Merrill Lynch Pierce, Fenner & Smith, Inc., Respondent Case Number: 04-03184 Hearing Site: Portland, Oregon Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Robert S. Banks, Jr., Esq. Banks Law Office, P.C. Portland, Oregon For Respondent: Ky Fullerton, Esq. Mi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Simon Goren, (Claimant) vs. Wall Street Equities, Inc., Frank Cullen, and Julian Alvarez, (Respondents) Case Number: 01-00068 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Simon Goren, hereinafter referred to as "Claimant", appeared pro se. Respondents, Wall Street Equities, Inc. ("WSE"), Frank Cullen ("Cullen"), and Julian Alvarez ("Alvarez"), herei

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Lynn-Rose Saltzman Louis C. Saltzman Lynn-Rose Saltzman IRA Marc A. Saltzman and Lynn-Rose Saltzman, JTWROS Names of the Respondents Gunn Allen Financial, Inc. Edward Mosionzhnik a/k/a Ed Moss Case Number: 04-03180 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gilbert R. Sugarman and The Gilbert R. Sugarman ERA Rollover Account (Claimants) v. Warfield Associates, Inc. and Thomas R. Warfield (Respondents) Case Number: 04-03156 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Gilbert R. Sugarman ("Sugarman") and The Gilbert R. Sugarman IRA Rollover Ac

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Huntingdon HomeOwners Corporation and Names of Respondents UBS Financial Services, Inc., and UBS Securities, LLC Case Number: 04-03154 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firms REPRESENTATION OF PARTIES Huntingdon HomeOwners Corporation ("Claimant") was represented by Joseph J. Hroch, Esq., Spencer & Associate

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name nf Claimant David A. Fletcher and Names nf Respondents Wells Fargo Investments, LLC and Tami K. Rovall Case Number: 04-03151 Hearing Location: Houston, Texas NATTTRT? OF THSPITTF Customer v. Member and Associated Person OFPARTTFR David A. Fletcher ("Claimant") .was represented by Leonard L Meyer, Esq. and Nelson Ebaugh, Esq., Zimmerman, Axe