Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Marshall Numark, (Claimant) vs. DLJDirect, Inc., (Respondent) Case Number: 00-03561 . Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Marshall Numark, hereinafter referred to as "Claimant", appeared pro se. Respondent, DLJDirect, Inc., hereinafter referred to as "Respondent": Caroline K. Hall, Esq., Rosenman& Colin, LLP, New York, NY. i CASE INFORMATIO

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01871 Prime Charter Ltd, Claimant vs. Daniel E. Simon, Respondent. ATTORNEYS: Claimant, Prime Charter Ltd., ("Claimant"), appeared through its in-house counsel, Eric J. Shames, Esq., New York, NY. Respondent, Daniel E. Simon, ("Respondent"), appeared pro se. Davie, FL. DATE FILED: March 17, 2003 CASE SUMMARY: Claimant alleged that Respondent has failed and refused to repay the remain

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01870 Anthony and Carol Robinson, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Jason C. Amador, Respondents. ATTORNEYS: For Claimants appeared W. Scott Greco of the law offices of Greco & Greco, P.C., McLean, VA. For Respondents appeared in-house counsel Yosef Sinensky, Esq., New York, NY. Formerly represented by in-house counsel Daren A. Luma, Esq., New York, NY. NATURE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lois Pat B. McAllister (Claimant) v. Advest, Inc. and Harold Losey (Respondents) Case Number: 03-01869 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Lois Pat B. McAllister ("McAllister") hereinafter referred to as "Claimant": Howard M. Rosenfield, Esq., Law Office of Howard M. Rosenfield, Farm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roger Eng, Sr., and Sylvia Eng, individually and as Trustees and on behalf of the Eng Revocable Family Trust, the William Jack Chow and Anne K. Chow Trust C, SFT Properties, LLC, and Dorrey Company, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Penny Huang, Respondents Case Number: 03-01866 Hearing Site: San Francisco, California Nature of the Dispute: Customers v

Award NASD Dispute Resolution In the Matter of the Arbitration Between: R. Scott Creighton (Claimant) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. (Respondent) Case Number: 03-01864 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant R. Scott Creighton ("Creighton") hereinafter referred to as "Claimant": Richard I. Wolff, Esq., New York, NY. Previously appeared pro se.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 03-01862 t p • John F. Green, IV and Karen Green i Name of the Respondents Hearing Site: Chicago, Illinois Stifel, Nicolaus & Co., Inc., , and Kevin S. Fitzpatrick , Customer v. Member Firm and Associated Person James Eccleston, Esq. and Stephen S. Berkeley, Esq., cf the firm Shaheen, Novoselsky, Staat & Filipowksi represent

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant AHA. Esfahani, M.D. and Respondent Kopp Investment Advisors, Inc. Case Number: 03-01861 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Non-Member REPRESENTATION OF PARTIES Ali A. Esfahani, M.D. ("Claimant") was represented by Anthony R. Paesano, Esq., Beals Hubbard PLC, Farmington Hills, Michigan as of on or about August 12, 2004. Cl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Doris M. Ardle Namfl g Citigroup Global Markets, Inc. fk/a Salomon Smith Barney, Inc: William F. Dodge . Howard Guggenheim Paul J. Abrams LisaKaye Case Number: 03-01 860 Hearing Site: Philadelphia, PA Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Doris M. Ardle, hereinafter referred to as

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01856 James A. Outlaw Names of the Respondents Hearing Site: Orlando, Florida Morgan Stanley DW, Inc. TheodoreVaughan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For James A. Outlaw, hereinafter referred to as "Claimant": Austin N. Aaronson, Esq., Aaronson, Austin, P.A., Orlan