Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vivion S. Kearney, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Pawel Szott, and Joseph J. McLaughlin, Respondents Case Number: 04-01277 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Grenville Pridham, Esq. Law Offices of Grenville Pridham Las Vegas, Nevada

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Douglas and Lori Grohs, Claimants v. Eric W. Anderson and Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Respondents Case Number: 04-01273 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: For Respondents: Lawrence R. Cock, Esq. Fredrick Huebner, Esq. Cable, Langenbach,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01267 Robert L. Sengpiel Trust, Claimant v. NatCity Investments, Inc. and Van Kampen American Capital, Respondents ATTORNEYS: Claimant Robert L. Sengpiel Trust ("Claimant") appeared pro se through Robert L. Sengpiel, Bloomington, IL. For Respondent NatCity Investments, Inc. appeared William P. Larkrnan, Esq., in-house counsel, NatCity Investments, Inc., Cleveland, OH. For Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Yossef Kahlon (Claimant) v. VFinance Investments, Inc. and Marc Siegel (Respondents) Case Number: 04-01266 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Yossef Kahlon ("Kahlon") hereinafter referred to as "Claimant": Benjamin Lapin, Stock Market Recovery Consultants, Inc., Brooklyn, NY. Respon

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01259 Anthony K. Lagondino, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Frederick C. Wong, Respondents ATTORNEYS: For Claimant Anthony K, Lagondino ("Claimant") appeared Gerald S, Clay, Esq., of the firm Stanton Clay Chapman Crurnpton & Iwamura, Honolulu, HI. For Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Frederick C. Wong (collectively "Respondents") app

AWARD NASD Dispute Resolution, Inc. n the Matter of the Arbitration Between David G. Murphy IRA and . 00-05673 Southfield, Michigan Josephthal & Co., Inc., and Randall E. Lindberg . REPRESENTATION OF PARTIES David G. Murphy IRA ("Claimant 11 ) was represented by D. Michael Kratchman Esq., Southfield, Michigan. Josephthal & Co., Inc. (" Josephthal 11 ) and Randall E. Lindberg ("Lindberg"), hereinafter collectively referred

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Adam Stolpen, individually and as Custodian for Anastasia Stolpen and Aaron Stolpen, (Claimant) vs. Salomon Smith Barney Inc. and Joyce Goldfarb, (Respondents) Case Number: 00-00566 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Adam Stolpen, individually and as Custodian for Anastasia Stolpen and Aaron Stolpen, hereinafter referred to as "Claimant": Rich

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01257 Mohammed Khan Names of the Respondents Hearing Site: Boca Raton, Florida Elangovan Surendran Continental Broker-Dealer Corp., Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Mohammed Khan, hereinafter referred to as "Claimant'* appeared pro se. For Respondent Elangovan Surendran (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Aron Apislorf Names of the Respondents Morgan Stanley DW, Inc. Bennett Adler Jeffrey B. Izsak Case Number: 04-01256 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Aron Apislorf, hereinafter referred to as "Claimant", appeared pro-se. For Morgan Stanley DW, Inc.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01251 Marjorie Brantmeyer IRA and Thomas Brantmeyer IRA, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimants Marjorie Brantmeyer ERA and Thomas Brantmeyer IRA (collectively "Claimants") appeared Andrew Stoltman, Esq., of the firm Maddox Hargett & Caruso, P.C., Chicago, IL. Previously represented by: Peter J. Fox, Esq., of the firm Law Office of Danie