Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jiun Chi Minn, Claimant v. Charles Schwab & Co., Inc., Respondeni v. Ted Chu, Third-Party Respondent Case Number: 00-04339 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Jiun Chi Minn: For Respondent Charles Schwab & Co., Inc. For Third-Party Respondent Ted Chu: Jiun Chi Minn In Propria Persona Torrance, California Bnmdon K

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00416 Paul Kessler and Alberta Kessler, Claimants vs. Advest, Inc., and Ronald Roberts, Respondents. ATTORNEYS: Claimants, Paul Kessler and Alberta Kessler, ("Claimants"), appeared Pro Se,, Flushing, NY. Respondents, Advest, Inc., and Ronald Roberts, (collectively "Respondents"), appeared through their in-house counsel, Thomas P. Byrne, Esq., Hartford, CT. DATE FTLED:January 17, 2003 CAS

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Andrew Andrews (Claimant) v. Citigroup Global Markets, Inc. #k/a Salomon Smith Barney, Inc. and Thomas Cox (Respondents) Case Number: 03-00415 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Andrew Andrews ("Andrews") hereinafter referred to as "Claimant": Kevin P. Conway, Esq., Conwa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank M. Lobacz (Claimant) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc., David A. Reiss, and Donald S. Reiss (Respondents) Case Number: 03-00414 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Frank M. Lobacz ("Lobacz") hereinafter referred to as "Claimant": John E. Lawlor,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00405 Raymond James Burleigh IRA Names of the Respondents Hearing Site: New Orleans, Louisiana Earl Jude Delahoussaye Jon Andrew Delahoussaye New York Life Insurance Company (New York Life Securities, Inc.) Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Raymond James Burleigh IRA ("Burl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Joseph D. Parish, Jr., individually, and as General Partner of the Parish Family Limited Partnership Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 03-00404 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Joseph D. Parish, Jr., individually, and as

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00403 Michael A. Freedland Marilyn Freedland Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Robert Smith Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Michael A. Freedland and Marilyn Freedland, hereinafter collectively referred to as "Cl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00402 Michael A. Bloom Judy Bloom Name of the Respondent Hearing Site: Tampa, Florida UBS PaineWebber, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Michael A. Bloom and Judy Bloom, hereinafter collectively referred to as "Claimants": Stephen A. Baker, Esq., St. Pete Beach, Florida. Fo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scott A. Baden, M.D., individually and as trustee of the Baden Family Trust, and Arlene Baden, individually and as trustee of the Baden Family Trust, Claimants v. Citigroup Global Markets Inc. Fk/a Salomon Smith Barney Inc., Joseph J. Schirripa, and Madeleine A. Antekelian, Respondents Case Number: 03-00396 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riamrant Casa Nnmher 03-00392 Levin E. Taylor Trust Names nf the Rf gpfmHpnts Hearing Site' Washington, DC Deutsche Bank Securities, Inc. C.Ryan Smith Nature of the Dispute: Customer vs. Member and Associated Person. RFPRFRRNTATTON OF PARTTF.S Claimant, the Levin E. Taylor Trust ('"Claimant"), was represented by W. Scott Greco, Esq., Greco & Greco, P.C., McLe