AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants) Ruth Clemmons and Paul Clemmons and 00-04454 Kansas City, Missouri Name of Respondents) Quest Capital Strategies, Inc. Matthew Mikesch REPRESENTATION OF PARTIES Ruth Clemmons and Paul Clemmons ("Claimant") were represented by Stuart R. Berkowitz, Esq., Platke and Berkowitz, L.L.P., St. Louis, Missouri. Quest Capital Strategies, Inc. ("Resp

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Names of the Claimants Case Number: 03-01278 Clarence Donald Schulze, IRA Clarence Donald Schulze Constance R. Schulze Ten Comm Clarence Donald Schulze Constance R. Schulze JTCOM Names of the Respondents Hearing Site: Boca Raton, FL Janney Montgomery Scott UBS/PaineWebber, Inc. Michael Gomberg Nature of the Dispute: Customer vs. Member and Associated P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Jorge Karpati and Ana Maria Davies Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. a/k/a Merrill Lynch Montevideo, S. A. Case Number: 03-01274 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer v. Member Firm. REPRESENTATION OF PARTIES For Jorge Karpati ("Karpati") and Ana Maria Davies ("Davies"), hereinafter coll

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Susan Inwald and the Susan Inwald Irrevocable Trust and Case Number: 03-01269 Hearing Site: Southfield, Michigan Names of Respondents Prudential Equity Group, LLC Pruco Securities Corp. Michael D. Krane Prudential Securities, the Prudential Insurance Co. of America, Pruco Life Insurance Company, and Pruco Life Insurance NATURE OF DISPUTE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 03-01265 Robert L. Holstein, individually and as beneficiary of the Robert L. Holstein MD SC Employees Profit Sharing Plan & Trust U/A 07/11/85 and joint tenant of the Robert and Judith L. Holstein joint account; Judith L. Holstein, individually and as beneficiary of the Judith L. Holstein, IRA and joint tenant of the Robert and Judith L. Holstein join

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Lawrence S. Katz and Karen A. Katz and Names of Respondents Morgan Stanley DW Inc. Morgan Stanely Dean Witter & Co. The Sasson Group and Albert A. Sasson Case Number: 03-01264 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customers v. Member, Non-Members and Associated Person REPRESENTATION OF PARTIES Lawrence S. Katz and Kare

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Okland Properties, Inc., Jack Okland, Sr. and Jeanne G. Okland, Claimants v. Empire Capital Group, LLC, Sterne, Agee & Leach, Inc. and William P. Enright, Jr., Respondents Case Number- 03-01262 Situs: Salt Lake City, Utah Nature of the Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES For Claimants: Mark O. Morris, Esq. SneU&WilmerLLP Salt

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ernest Friedman v. Delta Asset Management Company, L.L.C., Penson Financial Services, Inc., Ronald D. Armitage and Mario Rodriguez (a/k/a Mario Casais) Case Number: 03-01261 Hearing Site: Los Angeles, California Nature of the Dispute: Customer vs. Member, Non-Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: For Respondents: Delta Asset Man

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Argo Corporation, 304 West Realty Co., 50 West Realty Co., 69 Fifth Co., Ambro Associates, Argo/875, Argo Corp. Brokerage, Berkley Realty Associates, Cenpark Realty, Cleo Realty Associates, Henro Realty Co., Ja Han LLC, Jemrock Realty Corp., Martinique Realty Associates, Outstate Realty Corp., Quality & Ruskin Associates, Westman Realty Co., and Windsor-Oxford Co. (Claima

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Danny Shank and Barbara Shank, and Danny Shank, IRA (Claimants) v. A.G. Edwards & Sons, Inc. (Respondent) Case Number: 03-01249 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Danny Shank ("D. Shank") and Barbara Shank ("B. Shank"), and Danny Shank, IRA ("D. Shank IRA") hereinafter collectively referred to as "Claima