Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward Zahorsky IRA, Claimant v. Centaurus Financial, Inc. and Douglas Rupiper, Respondents Case Number: 03-00604 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member mid Associated Person REPRESENTATION OF PARTIES For Claimant: Brett A. Alcala, Esq. Alcala Law Firm San Mateo, California For Respondents: Robert C. Rosen, Esq. Rosen & Asso

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00602 David Sieve, as Personal Representative of the Estate of Dee Sieve Names of the Respondents Hearing Site: Tampa., Florida UBS Paine Webber, Inc. Arthur S. Day Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For David Sieve, as Personal Representative of the Estate of Dee Sie

I AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Celia Ginnodo, Individually, and as Successor Trustee of the Gunn Family Revocable Living Trust and the Gunn Family Disclaimer Trusts, and Muriel Gunn, Individually and as Former Trustee of the Gunn Family Revocable Living Trust and the Gunn Family Disclaimer Trusts, and as Beneficiary of those Trusts and 03-00601 Chicago, Illinois Names of Re

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant RBC Dain Rauscher Inc. and 03-00600 Phoenix, Arizona Name of Respondent Raymond H. Johnson Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES RBC Dain Rauscher, Inc. ("Claimant") was represented by Terrence J. Reining, Esq. and Sandra S. Smalley, Esq., Lindquist & Vennum P.L.L.P., Minneapolis, Minnesota. Raym

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James R. Pisaneschi and Carol J. Pisaneschi (Claimants) v. Morgan Stanley DW, Inc. and Michael Raymond Darby (Respondents) Case Number: 03-00599 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants James R. Pisaneschi ("J. Pisaneschi") and Carol J. Pisaneschi ("C. Pisaneschi") and James R. Pisaneschi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Flocco and Robert Flocco IRA (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Timothy M. Keegan (Respondents) Case Number: 03-00598 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Robert Flocco ("Flocco") and Robert Flocco IRA ("Flocco IRA") hereinafter collectively referr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ibrahim Alwareeth and Ayida Mohamed, Claimants v. Scottrade, Inc., Respondent Case Number: 00-04362 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Ibrahim Alwareeth, Pro Se Ayida Mohamed, Pro Se Petaluma, California For Respondent: Mark Finnegan Scottrade, Inc. St. Louis, Missouri CASE INFORMATION Statement of Claim filed

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, Inc. v. Daniel Shainheit Case Number: 03-00596 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Wachovia Securities, Inc., hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Law Offices of Daniel S. Fiore, Arlington, VA. Respondent, Daniel Shainheit, hereinafter referred to as "Respondent", pro se. CASE INFORMATION State

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00590 Patricia Webber Names of the Respondents Hearing Site: Boca Raton New England Securities, Andre Faucher and Paul Sirois Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Patricia Webber ("Webber"), hereinafter referred to as "Claimant": David A. Hoines, Esq., Hoines & Rose

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASES: 03-00589 and 03-02759 Charles Schott and Teresia Rix, Claimants v. OptionsXpress, Inc., Respondent. Charles Schott and Teresia Rix, Claimants v. OptionsXpress, Inc. and Thomas E. Stern, Respondents. ATTORNEYS: Claimants are collectively, "Claimants" Respondents are collectively, "Respondents" Case 03-00589 Claimants, Charles Schott and Teresia Rix, appeared pro se, San Bernardino, CA.