Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael A. Dickter, Claimant v. Michael Hall, Respondent Case Number: 03-00091 Hearing Site: Los Angeles, California Nature of Dispute: Customer v. Associated Person REPRESENTATION OF PARTIES For Claimant: In Propria Persona Sherman Oaks, California For Respondent: Eric J. Glassman, Esq. Mennemeirer, Glassman & Stroud LLP Sacramento, California CASE INFORMATION

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Pinnacle Trading, LLC and Timothy Ngo, (Claimants) vs. Generic Trading of Philadelphia, LLC, Generic Trading Associates, LLC, Cariin Equities Corp., Ronald Shear, and Keith Aronoff, (Respondents) Case Number: 00-04300 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Pinnacle Trading, LLC ("Pinnacle") and Timothy Ngo ("Ngo"), hereinafter collectively re

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00089 Burton W. Carlson Names of the Respondents Hearing Site: Tampa, Florida Raymond James & Associates, Inc. Robert A. Berman Jonathan D. Wax Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Burton W. Carlson, hereinafter referred to as "Claimant": Laurence S. Schultz, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00080 Joseph H. Nolette Joseph H. Nolette, IRA Lorraine S. Nolette, IRA Tina Marie Nolette Name of the Respondent Hearing Site: Orlando, Florida Morgan Stanley DW, Inc. Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES For Joseph H. Nolette; Joseph H. Nolette, IRA; Lorraine S. Nolette, IRA; and Tina Marie No

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Mark C. and Pattie L. Heitzman vs. 03-00076 Oklahoma City, Oklahoma Respondents 1 st Global Capital Corporation, Stephen P. Regouby d/b/a Union Financial Advisors, Inc., and National Financial Services Corporation Nature of the Dispute: Customers vs. Member Firms, Non-Member Firm and Associated Person REPRESENTATION OF PARTIES Mark C. and Pat

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Pamela A. Dobel v. 03-00075 Minneapolis, Minnesota Respondents Edward D. Jones & Company and Eugene C. Wipf Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Pamela A. Dobel ("Claimant") was represented by Andrea D. Kiehl, Esq., of Flynn, Gaskins & Bennett, L.L.P., Minneapolis, Minnesota. Edward D. Jones & Company ("Edw

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Patricia A- MacLeod and The Patricia A. MacLeod Irrevocable Trusts 03-00074 Minneapolis, Minnesota v. Respondents Multi-Financial Securities Corp., Cambridge Investment Research, Inc., Paul Basballe, AMG Financial Services, David A. Duhn, and First Integrity Financial Services Nature of Dispute: Customers v. Members, Associated Persons and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00067 Gayle Scott and Holli Lasky JTWROS Name of the Respondent Hearing Site: Boca Raton, Florida CIBC Oppenheimer Nature of the Dispute: Customer vs. Member Firm. REPRESENTATION OF PARTIES For Gayle Scott and Holli Lasky JTWROS, hereinafter collectively referred to as "Claimants": Darren C. Blum, Esq. and Scott L. Silver, Esq., Blu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pagp ]sJnrnhpi" 03-00066 David and Jackie Bornstein f tfr* p^cprm^ftf H^^pg siter Dallas, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc. OF Customers v. Member Firm Claimants David and Jackie Bornstein, hereinafter collectively referred to as "Claimants": David L. McGee, Esq. of the firm of Beggs & Lane, located in Pensacola, Florida.. Respondent Merrill Lynch, Pierce

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stephen M. Baranek and John O. Whalen (Claimants) vs. Jospeh Gunnar & Co., LLC (Respondents) Case Number: 03-00065 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Stephen M. Baranek ("Baranek") and John O. Whalen ("Whalen"), hereinafter collectively referred to as "Claimants": Mikel J. Hoffman Esq., sole practitioner, Babylon, NY. Respondent, Joseph Gunn