Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert H. Spence, Claimant v. TD Waterhouse Investor Services, Inc., Respondent Case Number: 03-01072 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Robert H. Spence In Propria Persona Corte Madera, California For Respondent: John L Erikson, Esq. Jones, Bell, Abbott, Fleming & Fitzgerald Los A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sheila Perrin, Claimant v. National Securities Corp. and Peter Rettman, Respondents Case Number: 03-01071 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Stephen M. Hansen, Esq. Lowenberg, Lopez & Hansen, P.S. Tacoma, Washington For Respondents: Arian Colachis, Esq. Golbeck Roth & C

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01067 Lois Boutaugh f/k/a Lois Boutaugh-Goss Name of the Respondent Hearing Site: Atlanta, Georgia Bryan T. Forman REPRESENTATION OF PARTIES For Lois Boutaugh f/k/a Lois Boutaugh-Goss, hereinafter referred to as "Claimant": Philip R. Taylor, Esq. and Joseph R. Odachowski, Esq., Taylor, Odachowski & Sperry, LLC, St. Simons Island, Georgia. For Bryan

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Michael J. Parham, Jo Ann Parham, Individually and Parham Retirement Plan and 00-4421 Dallas, Texas Name of Respondents Merrill Lynch, Inc. Ward M. Dahlander REPRESENTATION OF PARTIES Michael J. Parham, Jo Ann Parham, Individually and Parham Retirement Plan ("Claimants") were represented by N. Henry Simpson, m of Simpson, Wooley & McConachie L.L

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Names of Claimants: Richard Jaszczak and National Systems Case No: 00-00443 Names of Respondents: Global Financial Group, Inc., Steven C. Staltare, Kevin D. Renert, Jonathan T. Thau and Southwest Securities, Inc. Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Richard Jaszczak ("RJ") and National Systems ("National"), hereinafter referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between; John K. Koppelman and Ema Salas Koppelman JTWROS, and Ema Salas Koppeknan SSB Roth Spousal IRA Custodian, Claimants v. Citigroup Global Markets Inc. f.k.a. Salomon Smith Barney Inc., Respondent Case Number: 03-01062 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Anthony A. Liberatore, Esq. Liberatore

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harold Allen, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Hiep V. Phan, Bryan A. Duckett, Joseph B. Yu, Frank S. Piotrkowski, and Charles R. Hartman, Respondents Case Number: 03-01060 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member, Associated Persons, and Non-Member REPRESENTATION OF PARTIES For Claimant: Steven B. Leha

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark Elliot Schlanger, individually, and on behalf of the Martin Schlanger IRRE Trust #1 U/A'D 6/11/90, Mark E, Schlanger, TTEE, Mark Schlanger Cust for Lee Erik Schlanger UTMA/FL, and The Martin Motor Sales, Inc. Trust FBO Anthony Chianese DTD 2/18/97, Mark Schlanger, TTEE (Claimants) v. Morgan Stanley DW, Inc. and William Richard Fox (Respondents) Case Number: 03-01059 Hear

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Ali Daher (Claimant) v. Deutsche Bank Securities (Respondent) Case Number: 03-01053 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant Dr. Ali Daher ("Daher") hereinafter referred to as "Claimant": Anthony J. Horn, Esq., New York, NY. Respondent Deutsche Bank Securities ("DBS") hereinafter referred to as "Respondent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01051 David A. Tuch, IRA and Barbara L. Tuch, IRA, Claimants vs. David Mitchell, Dana Teculver, and Fidelity Brokerage Services LLC, Respondents. ATTORNEYS: Claimants, David A. Tuch and Barbara L. Tuch ("Claimants") appeared pro se., Oconomowoc, WI. Respondents, David Mitchell, Dana Teculver, and Fidelity Brokerage Services LLC., (collectively "Respondents) appeared through their in-hous