NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00819 Harris Investor Services, LLC, Claimant v. Slobodan Nikolich, Respondent ATTORNEYS: For Claimant Harris Investor Services, LLC ("Claimant") appeared Michael B. Colombo, President, Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent Slobodan Nikolich ("Respondent") appeared pro se, Citra, FL. NATURE OF DISPUTE: Member v. Customer. DATE FILED: February 9, 2004. CASE

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00818 J.P. Turner & Company, LLC, Claimant vs. Gregg Lorenzo, Respondent/Third-Party Claimant v. Rocco Guidicipietro, Third-Party Respondent ATTORNEYS: For Claimant J. P. Turner & Company, LLC ("Claimant") and Third-Party Respondent Rocco Guidicipietro ("Third-Party Respondent") appeared Lawrence A. Steckman, Esq., of the firm Lester Schwab Katz & Dwyer, LLP, New York, NY. For Respondent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00817 Samuel D. Rosen, Claimant v. Ryan Beck & Co., Respondent. ATTORNEYS: ~ ~ ~~~ Claimant, Samuel D. Rosen, ("Claimant"), appeared pro se, New York, NY. Respondent, Ryan Beck & Co., ("Respondent"), appeared through its in-house counsel Jeffrey B. Cohen, Esq., Livingston, NJ. NATURE OF DISPUTE: Customer v. Member DATE FILED: February 9, 2004 CASE SUMMARY: Claimant alleged that Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Berthel Fisher & Company Financial Services, Inc. (Claimant) v. Otto Robert Kozak (Respondent) Case Number: 04-00812 Hearing Site: New York City, New York Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Berthel Fisher & Company Financial Services, Inc. hereinafter referred to as "Claimant": Leslie D. Smith, Esq., Berthel Fisher & Company Fin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant George F. Hunter Name of the Respondent A.G. Edwards & Sons, Inc. Case Number: 04-00807 Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For George F. Hunter, hereinafter referred to as "Claimant": George W. Healy, IV, Esq., George W. Healy, IV & Associates, Gulfport, MS. For A.G. Edwards & S

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00798 Cherri R. Kelly, and Cheiri R. Kelly c/f Skylar Destini Kelly, Claimants v. Charles Schwab & Co., Inc., Respondent ATTORNEYS: For Claimants Cherri R. Kelly, and Cherri R. Kelly c/f Skylar Destini Kelly ("Claimants") appeared pro se, Brighton, IL; previously appeared Mark C. Goldenberg, Esq., of the firm Goldenberg, Miller, Heller & Antognoli, P.C., Edwardsville, IL. For Respondent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00795 Kovack Securities, Inc., Claimant v. James H. Miller, Respondent. ATTORNEYS: Claimant, Kovack Securities, Inc., ("Claimant"), appeared through their in-house counsel, Brian J. Kovack, Esq., Fort Lauderdale, FL. Respondent, James H. Miller, ("Respondent"), did not submit a response to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: February 9,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00792 Pamela F. Joseph Names of the Respondents Hearing Site: Orlando, Florida Morgan Stanley, f/k/a Morgan Stanley Dean Witter Anthony Scibelli Nature of the Dispute: Customer vs. Member and Associated Person. 1,1 REPRESENTATION OF PARTIES For Pamela F. Joseph, hereinafter referred to as "Claimant": Robert Dyer, Esq., Allen, Dyer, Do

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants North Georgia Radiation Therapy, P.A. Money Purchase Pension Plan, Kenneth Haile, Jr., Trustee Kenneth Haile, Jr. Case No. 00-05615 Names of Respondents D.H. Blab: & Company Jeffrey Triana Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Kenneth Haile, Jr. and North Georgia Radiation Therapy, P.A. Money Purchase

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-00786 Robert H. Hood Jackie Sue Welch Hood Names nf the Respondents Hearing Site: Raleigh, NC Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Timothy L. Rauwald Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants., Robert H. Hood and Jackie Sue Welch H