Award NASD Dispute Resolution In the Matter of the Arbitration Between: Trident Partners, (Claimant) v. American Capital Partners, LLC, James Dolan, Daniel Dvorznak, Nicholas Tsikitas, Kenneth Severinsen, Anthony Salamone, and Thomas Allegra, (Respondents) Case Number: 02-07383 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Trident Partners, hereinafter referred to as "Claimant": Eugene L. Small, Esq., Alonso, Andalkar & Kahn,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nampnf the Claimants Case Number- 00-04218 Steven Helzner and Paula Helzner ^ nf the Respondents Hearing Site:- Philadelphia, Pennsylvania Paul M. Price, and Ferris, Baker Watts, Incorporated. RRPRFSFNTATTON OF PARTTFS Claimants, Steven Helzner ("S. Helzner") and Paula Helzner ("P. Helzner"), hereinafter collectively referred to as "Claimants" were represented by Steven M. Drano

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter M. Brown, Claimant v. Erika Komarck and Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Respondents Case Number. 02-07382 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Jonathan Schwartz, Esq. Law Offices of Jonathan Schwartz Marina Del Rey, California For

NASD Dispute Resolution In the Matter of the Arbitration Between: __ _ -.-....____... John M. Flood, individually and as trustee on behalf of the John M. Flood Living Trust. John M. Flood SEP, and John M. Flood SEG/IRA, Claimants v. US Bancorp Piper Jaffray, Inc., Paul T. Adams, and Russell G. Godt, Respondents Case Number: 02-07378 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PA

NASD Dispute Resolution f^ f?* /*t f ; ^ / a-** ft **\ C U C ! v Ll J Z fifjl, * ! i " /"*! A *- - ufc'i mm -HA & In the Matter of the Arbitration Between: KE^3TR,v ";:;;•; i {;;;:CL ;. Judy Moran, Claimant v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., Respondent Case Number: 02-07377 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mayo Harris and Irene Harris, Claimants v. Lisa A. Detanna, Susan L. Dehen, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., and Morgan Stanley DW Inc., Respondents Case Number: 02-07376 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Alan Jay Harris, Esq. Brad Neufeld, Esq. Harris & Harris, LLP Burbank, California For Respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: of tV>p Claim ants Pagp Number: 02-07371 Charles Kegans and Pamela Kegans H ff flrif?6 ftfo* Dallas, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc.; David H. Komansky; and, Deepak D. Raj Public Customer v. Member Firm and Associated Persons Claimants Charles Kegans and Pamela Kegans, hereinafter referred to as "Claimants": Jakes Jordaan, Esq., of the firm of J

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07370 Darlene M. Gates, Claimant vs. Merrill Lynch Pierce, Fenner & Smith, Inc. and Brent Hanson, Respondents. ATTORNEYS: Claimant, Darlene M. Gates, ("Claimant") appeared pro se., Brainerd, MN. Respondents, Merrill Lynch Pierce, Fenner & Smith, Inc. and Brent Hanson, (collectively "Respondents") appeared through their in-house counsel, Richard Kelly, Esq., New York, NY. DATE FILED: Dece

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Anita Hankwitz Kastner Revocable Trust and Name of Respondents J. E. Liss & Company, Inc., a/k/aLiss Insurance Financial Services, Jerome E. Liss, Thomas Carter, Carol A. Liss and Laura Liss, f/k/a, Laura Liss-Scott 02-7369 Milwaukee, Wisconsin Nature of the Dispute: Customer vs. Terminated-Member and Associated Persons. REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Bordash (Claimant) vs. Roberston Stephens, Inc (Respondent) Case Number:02-07362 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Robert Bordash, hereinafter referred to as "Claimant": Jonathan Sack, Esq., Sack & Sack, New York, NY. Respondent Roberston Stephens, Inc., hereinafter referred to as "Respondent": Mary P. Cohn, Esq., Bingham McCutchen LLP