Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harry S. McCarthy, Jr., Claimant v. Vanguard Marketing Corporation, Respondent Case Number: 04-01462 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Carl J. Carlson, Esq. Carlson & Dennett, P.S. Seattle, Washington For Respondent: Brian T. Donadio, Esq. Vanguard Group, Inc. Malverne, Pennsylvania

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stephen J. Ashekian (Claimant) v. Knight Securities, L.P. (Respondent) Case Number: 04-01460 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Stephen J. Ashekian ("Ashekian") hereinafter referred to as "Claimant": Bruce P, McMoran, Esq. and Douglas S. Bramley, Esq., McMoran O'Connor & Bramley, P.C., Tinton F

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-05692 Tn vir, A. Hock, Claimant vs. Baxter, Banks & Smith Ltd., JWGenesis Financial Services, Inc. & K.A. Sawicki, Respondents. ATTORNEYS: For Claimant, Travis A. Hock, ("Claimant") appeared Eileen L. McGeever, Esq. of the firm Rushall & McGeever, Carlsbad, CA. Respondents, Baxter, Banks & Smith Ltd. and Kevin Sawicki (collectively "Respondents") did not respond to the Statement of

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01455 Robert Granoff and Karen Granoff Claimants v. Merrill Lynch, Pierce, Fenner and Smith, Inc., Respondent. ATTORNEYS: " For Claimants, Robert Granoff and Karen Granoff ("Claimants") appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A. Pensacola, FL. For Respondent, Merrill Lynch, Pierce, Fenner and Smith, Inc., ("Respondent")

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Miriam C. Olson v. 04-01454 Minneapolis, Minnesota Respondents UBS PaineWebber, Inc. and Robert C. Knutson, Jr. Nature of Dispute; Customer v. Member and Associated Person REPRESENTATION OF PARTIES Miriam C. Olson ("Claimant") was represented by Stephen P. Kelley, Esq., of Mackall, Crounse & Moore, PLC, Minneapolis, Minnesota. UBS PaineWebber, Inc. ("UBS"

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01453 Rosalie Shevan Aronoff, Claimant v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: For Claimant, Rosalie Shevan Aronoff., ("Claimant"), Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners, Newburgh, NY. For Respondents, Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("Respo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01452 Nathan Engel, Claimant v. Merrill Lynch, Pierce, Fenner and Smith, Inc., Respondent. ATTORNEYS: For Claimant, Nathan Engel, ("Claimant") appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A. Pensacola, FL, For Respondent, Merrill Lynch, Pierce, Fenner and Smith, Inc., ("Respondent") appeared A. Inge Selden, III, Esq., of the firm

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01448 Allan D. Ross, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant Allan D. Ross ("Claimant") appeared Wm. Jemison Minis, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared A. Inge Selden, III, Esq., of the firm Mayn

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Perry (Claimant) v. Citigroup Global Markets, Inc. i7k/a Salomon Smith Barney, Inc. and Derek Bartkow (Respondents) Case Number: 04-01447 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant David Perry ("Perry") hereinafter referred to as "Claimant": Kevin P. Conway, Esq., Conway & Conway

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01446 Shawn W. Delmar, (Claimant) v. LaJolla Capital Corp., Pacific Cortez Securities, Centex Securities, Harold B. Gallison, Sr., Harold B. Gallison, Jr., Christos V. Kiziroglou, John A. Perrone, and Eric P. Lesak, (Respondents) ATTORNEYS: For Claimant Shawn W. Delmar ("Claimant") appeared Robert B. George, Esq., of the firm Diorio & Sereni, LLP, Media, PA. Respondent John A. Perrone ap