Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant John Anthony Name of the Respondent J.J.B. Hilliard, W.L. Lyons, Inc. ase. Number- 04-00483 Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, John Anthony, hereinafter referred to as "Claimant", was represented by Peter B. Skeel, Esq., Summers, McDonnell, Walsh & Skeel, LLP, Pit

In the Matter of the Arbitration Between: Thomas Byrne, Claimant vs. Robert Palmiere, Respondent Case Number: 04-00482 SITUS: Pittsburgh, PA NATURE OF DISPUTE: Customer v. Associated Person REPRESENTATION OF PARTIES: Thomas Byrne, hereinafter referred to as "Claimant", was represented by Scott A. Lane, Esq., Edgar Snyder & Associates, LLC, Pittsburgh, Pennsylvania. Respondent did not file an answer in this matter. DATE FILED: January 26,2004 CAS

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Eric J. Remjeske v. 04-00480 Minneapolis, Minnesota Respondent RBC Dain Rauscher, Inc. Nature of Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Eric J. Remjeske ("Claimant") was represented by Donald R. McNeil, Esq., of Coleman Hull & Van Vliet, P.L.L.P., Minneapolis, Minnesota. RBC Dain Rauscher, Inc. ("Respondent") was represented by Jon

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Stewart Jackson, TV, individually and as custodian for John Stewart Jackson, V, Andrew Jackson, Madison Sara Mackenzie and Austin Britt Mackenzie; Joanne Jackson, CC Renee Evans, Renee George, Gregory Development, Inc., Stew Jackson Foundation, Inc., Cherlydee Huddleston, Howard E. Huddleston, Jennifer Jackson, Michelle Baere, Claimants, Vs. Kirkpatrick, Pe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: fi of thft Claimants Case Number: 04-00479 Helen McDonald, Frank S. McDonald and David A. McDonald Name of the Respondent Hearing Site: St. Louis, Missouri Stifel. Nicolaus & Co., Inc. MATIIPF OF niRPIITF Customers vs. Member Firm Richard B. Fosher, Esq. of the law firm Oakes & Fosher, LLC, located in St. Louis, Missouri, represented Claimants, Helen McDonald, Frank S. M

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Marlene Wilkins v. 04-00477 Denver, Colorado Respondents Morgan Stanley Dean Witter, Inc. and Todd S. Schmucker Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Marlene Wilkins ("Claimant") was represented by Alan C. Friedberg, Esq., of Pendleton, Friedberg, Wilson & Hennessey, P.C., Denver, Colorado. Morgan Stanley De

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dominic E. Rainone, Claimant v. TC Advisors Network f/k/a Gemisys Securities Corp. Respondent Case Number: 04-00470 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Kristin M. Cano, Esq. Law Offices of Kristin M. Cano Newport Beach, California For Respondent: Carla B. Minckley, Esq. Birge & Minckl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joacy P. Silva, Claimant v. Morgan Stanley DW Inc., Respondent Case Number: 04-00468 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Ryan B. Bakhtiari, Esq. Keith D. Fraser, Esq. Aidikoff& Uhl Beverly Hills, California For Respondent: Ronald E. Wood, Esq. Christine A. Pham, Esq. Morgan Stanle

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Herbert and Rose Lieberman (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Steven N. Jaenichen (Respondents). Case Number: 04-00465 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Herbert Lieberman ("H. Lieberman") and Rose Lieberman ("R. Lieberman"), individually and

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nicholas and Jolan D'Alessio and Marc Schwartz (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Inc. and Steven N. Jaenichen (Respondents). Case Number: 04-00464 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Nicholas and Jolan D'Alessio ("D'Alessio") and Marc Schwartz ("Schwartz")