Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00279 Wachovia Securities, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Adolfo Cordero Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LUC, hereinafter referred t© as "Claimant"; Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, Arlington, Virginia. Adolfo

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Norman and Mary Fowler and Name of Respondent Richard A. Comeau 04-00273 Omaha, Nebraska Nature of the Dispute: Customers vs. Associated Person REPRESENTATION OF PARTIES Norman Fowler and Mary Fowler, hereinafter referred to as "Claimants" were represented by Jerome Olitt, Esq., Arbitration and Mediation Specialists, Inc., Six Landmark

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00272 William B. McEachern, Claimant v. Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc. and Mark Patterson, Respondents. ATTORNEYS: ~ For Claimant, William B. McEachern, ("Claimant"), appeared Mark A. Friel, Esq., of me firm Stoll Stoll Berne Lokting & Shlachter, P.C., Portland, OR. For Respondents, Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc. and Mark Patterson, ("R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00271 James D. Scurlock, Claimant v. E*Trade Securities, LLC, Respondent. ATTORNEYS: Claimant, James D. Scurlock, ("Claimant"), appeared pro se, Santa Monica, CA. Respondent, E*Trade Securities, LLC, ("Respondent"), appeared through their in-house counsel, John Bersiny, Rancho Cordova, CA. NATURE OF DISPUTE: Customer v. Member DATE FILEDrjanuary 15, 2004 CASE SUMMARY: Claimant allege

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00268 Walter B. Smith and Marilyn G. Smith JTWROS, Claimants v, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimants, Walter B. Smith and Marilyn G. Smith JTWROS, ("Claimants"), appeared Marshall P. Richer, Esq., of the firm Finkelstein & Partners, Albany, NY. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon S

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00263 Howard & Elizabeth Fribush JNT, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent,, ATTORNEYS: For Claimant, Howard & Elizabeth Fribush JNT, ("Claimant"), appeared Jeffrey B. Kaplan, Esq., of the firm Dimond Kaplan & Rothstein, P.A., Miami, FL, For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared Lawrence D. Ross, Esq., of the firm Bre

OS/,19/02 MON 12:57 FAX _NASD REGULATION ^1017 Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: WILLIAM and SHIRLEY MORGAN, and KEVIN and KELLY SULLIVAN, Claimants, vs. EAST-WEST CAPITAL CORPORATION and DONALD G. TERNS, Respondents. Case Number: 00-05566 Hearing Site: Southfield, Michigan Claimants William Morgan, Shirley Morgan, Kevin Sullivan and Kelly Sullivan/. ("Claimants,") we

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names rvf the Claimants Case Numherr 04-00261 Judith A. and Hugh J. Mumford Names of the Respondents Hearing Site! Pittsburgh, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Eric W. Harding Nature of the Dispute: Customers vs. Member and Associated Person RFPRFSFNTATTON OF PARTIES Claimants, Judith A. and Hugh J. Mumford, hereinafter collectively referred to as "C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: lone M. Kjelstrom, IRA, lone Kjelstrom Revocable Living Trust, and lone Kjelstrom Irrevocable Trust c/o lone Kjelstrom, Trustee, Claimants v. Citigroup Global Markets Inc., Respondent Case Number: 04-00253 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Thomas A. Hargett, Esq. Maddox Hargett & Caruso, P.C.

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Thomas E. Krantz Case Number: 04-00252 and Hearing Site: Chicago, Illinois Names of Respondents Prudential Equity Group, LLC and Gerald A. Evans NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Thomas E. Kranz ("Claimant") was represented by Andrew Stoltmann, Esq., of the Stoltmann Law Offic