AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Sandi Goetze and 99-03025 Minneapolis, Minnesota Name of Respondents Millef, Johnson & Kuehn, Incorporated William Goude REPRESENTATION OF PARTIES Sandi Goetze ("Claimant") was represented by Donald E. Grossfield, Esq., The Investor's Law Group, Rochester, New York. Miller, Johnson & Kuehn, Incorporated ("Respondent MJK") was represented by

Award NASD Dispute Resolution In the Matter ot the Arbitration Between: Names of the Claimants Case Number: 02-07640 Elsie Simerman and Lee Simerman, Co-Trustees for The Elsie Simerman Revocable Living Trust and The Albert Simerman Residuary Trust Names of the Respondents Hearing Site: Boca Raton, Florida Prudential Equity Group, Inc. Citigroup Global Markets, Inc. (formerly known as Salomon Smith Barney, Inc.) Patricia E. Selin Natu

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Abdel Hamid Bouab (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Alex Troso, and Jeffrey Winik (Respondents) Case Number: 02-07579 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Abdel Hamid Bouab ("Bouab") hereinafter referred to as "Claimant": Kevin P.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Benedict M. Charlins and Nancy J. Charlins JTWROS, Charlins & Assoc. Inc. Defined Benefit Plan, Ben M. Charlins IRRA, Nancy J. Charlins IRA, Benedict M. Charlins IRA, Benedict M. Charlins SEP, and Charlins & Associates, Inc. Employee Profit Sharing Plan (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Louis A. Telerico (Respondents) Case Number: 01-06231 Hearing Site

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven E. Greenstein & Patricia Greenstein & The Sklar Trust (Claimants) vs. UBS PaineWebber, Inc., Arnold Goldbaum, Marc R. Green and M. Hope Helfenstein (Respondents) Case Number: 01-06127 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants, Steven E. Greenstein and Patricia Greenstein (" Greenstein") and The Sklar Trust ("Sklar Trust") hereinafter collectively refe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants JohnW. Anderson and Barbara E. Anderson 01-05506 v> Denver, Colorado Respondents Bock Evans Financial Counsel, Mutual Securities, Inc., Mary C. Evans and Thomas H. Bock Nature of Dispute: Customers v. Non-Member, Member and Associated Persons REPRESENTATION OF PARTIES John W. Anderson and Barbara E. Anderson ("Claimant") were represented by William D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sarah M. Hall (Claimant) vs. Avalon Investment & Securities Group, Inc. (Respondent) Case Number: 05-06598 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Sarah M. Hall hereinafter referred to as "Claimant": Sid M. Miller, Esq., Miller & Goldman, Hamden, CT. Respondent Avalon Investment & Securities Group, Inc. he

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Bernie Glannon and 05-06246 Kansas City, Missouri Name of Respondent Piper Jaffray & Co. f/k/a U.S. Bancorp Piper Jaffray Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Bernie Glannon ("Claimant") was represented by Michael E. Waldeck, Esq., Waldeck, Matteuzzi & Sloan, P.C., Leawood, Kansas. Piper Jaffray & Co. f/k/a U.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05706 Gladys Schwab Names of the Respondents Hearing Site: Tampa, Florida A.G. Edwards & Sons, Inc. Raymond James Financial Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Gladys Schwab, hereinafter referred to as "Claimant": Nicholas J. Taldone, Esq., Law Office of Nicholas J. Taldone, Esq., C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05224 Shelly S. Gars Names of the Respondents Hearing Site: Tampa, Florida FFP Securities, Inc. Earl Morton Slosberg Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Shelly S. Gars, hereinafter referred to as "Claimant": Richard R. Logsdon, Esq., Richard R. Logsdon, P.A., Clearwater, Flor