Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alan Frishman (Claimant) v. Moors & Cabot, Inc. (Respondent) Case Number: 04-00966 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant Alan Frishman ("Frishman") hereinafter referred to as "Claimant" appeared pro se. Respondent Moors & Cabot, Inc. ("Moors & Cabot") hereinafter referred to as "Respondent": Sander A. R

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00958 JoAnne McCuller-Davis Names of the Respondents Hearing Site: New Orleans, LA American Express Financial Advisors, Inc. Johnny R. Jones Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For JoAnne McCuller-Davis, hereinafter referred to as "Claimant": Milton Fried, Esq., Woska &

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Shirley Brumberger, individually, and as personal representative of the Estate of Joseph Brumberger Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Ralph Byer Robert Sauer Yvonne Smith Case Number: 04-00957 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William S. Calvert, Claimant v. Goldman, Sachs & Co., Respondent Case Number: 04-00952 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: For Respondent: Rodney J. Heggy, Esq. Fedennan & Sherwood Oklahoma City, Oklahoma Nipole A. Barrett, Esq. Sullivan & Cromwell LLP New York, N

NASD Dispute Resolution Arbitration No. 00-05643 Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Smart, (Claimant) vs. Nomura Securities International, Inc., (Respondent) Case Number: 00-05643 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Charles Smart, hereinafter referred to as "Claimant": Jeffrey L. Liddle, Esq., Liddle & Robinson, LLP, New York, NY. Respondent, Nomu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00948 CGF Securities, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Maria Fiore Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTI£5 For CGF Securities, LLC, hereinafter referred to as "Claimant" or "CGF': Gary E. Susser, Esq., Law Offices of Gary E. Susser, P.A., Boynton Beach, Florida. Maria

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Arlene Rawitscher and Names of Respondents Wachovia Securities, LLC, and Ian Hurwitz Case Number; 04-00938 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Arlene Rawitscher ("Claimant") was represented by Samuel Edwards, Esq., Shepherd, Smith & Edwards, LLP,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: "f thft < ":iairrtant Pagff "Murnhfir- 04-00937 Sandra A, Rhoden Hiring Sitf-' Dallas, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc.; and DoDee Frost Crockett O? P. T1TSPTTTF Public Customer v. Member Firm and Associated Person REPRESENT ATTfWf Off P APT|]?R Claimant Sandra A. Rhoden, hereinafter referred to as "Claimant": Charles M. Hamilton, Esq., of the Law Off

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Virginia M. Lazar Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Abbey Ajayi Mike Fuentes Lisa Spada Case Number: 04-00935 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Virginia M. Lazar, hereinafter

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wondewossen Mekbib, Claimant v. UBS PaineWebber, Inc., V. John Threlkeld, and Morgan Stanley Dean Witter, Respondents Case Number: 04-00934 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Attorney at Law Novato, California For Respondents U