NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06695 John S. Trecartin & Joan Trecartin JTWROS, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimants, John S. Trecartin & Joan Trecartin JTWROS, ("Claimants"), appeared Douglas H. Glicken, Esq., of the Law Offices of Douglas H. Glicken, P.A., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Jean G. Lamed and Case Number: 03-06633 Names of the Respondents Hearing Site: Houston, Texas UBS Financial Services Inc., Michael E. McClenny, Ahmad Fakar, and Roger B. Riley NATURE OF DISPUTE Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Jean G. Lamed ("Claimant") was represented by Sandy Garfinkel,

Award NASO Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06620 Randy Marcin Names of the Respondents Hearing Site: Boca Raton, Florida Tower Square Securities, Inc. Larry Carr Laura A. Pantaleo Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Randy Marcin ("Marcin"), hereinafter referred to as "Claimant": Daniel S. Newman, Esq., Br

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Byron B.W. Kim & Himana Kim, Claimants v. Ameritrade, Inc. and Thomas K. Lewis, Jr., Respondents Ameritrade, Inc., Counter-Claimant v. Byron B.W. Kim & Himana Kim, Counter-Respondents Case Number: 01-03096 Hearing Site: Honolulu, Hawaii REPRESENTATION OF PARTIES For Claimants Byron B.W. Kim & Himana Kim: Byron B.W. Kim & Himana Kim In Pro Per Honolulu, Hawaii F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06378 Jeffrey Buffoni Rebecca Forbes Names of the Respondents Hearing Site: Boca Raton, Florida Herbert J. Sims & Co., Inc. Alan Z. Appelbaum William B. Sims Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jeffrey Buffoni ("Buffoni") and Rebecca Forbes ("Forbes"), hereinafter colle

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06333 Louis Basile, Claimant v. Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc., Respondent. ATTORNEYS: For Claimant, Louis Basile, ("Claimant"), appeared Adam S. Doner, Esq., Palm Beach Gardens, FL. Respondent, Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc., ("Respondent"), appeared through its in-house counsel, Edmund Shea, Esq., New York, NY. NATURE OF DISPUTE: Cust

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward C. and Juanita F. Scowcroft, JTWROS and Juanita F. Scowcroft Trust dated 9/28/00, Claimants, v. McLaughlin, Piven, Vogel Securities, Inc. and Richard S. Nalbandian, Respondents. Case Number: 03-06042 Hearing Site: St. Louis, Missouri Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Edward C. and Juanita F. Scow

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anita Mollot, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Ralph R. Scott, Paul N. Marcus, and Sy R. Lippman, Respondents Case Number: 03-05944 Hearing She: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: William S. Bonnheim, Esq. William S. Bonnheim, PLC Palm Desert, Californ

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05809 Mary Ann Coppock, c/f Kacie Freer UTMA/CT, Claimant v. Michael Boyarsky and Felicia A. Klug, and Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondents ATTORNEYS: Claimant Mary Ann Coppock, c/f Kacie Freer UTMA/CT ("Claimant") appeared pro se, through Mary Ann Coppock, Wallingford, CT. For Respondents Michael Boyarsky and Felicia A. Klug, and Merrill Lynch, Pierce, Fenner & Smith

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Henry C. Chang, Claimant v. James Harold Goode, Jr., Respondent Case Number: 03-05741 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES For Claimant: Stephen S. Chang, Esq. Santa Ana, California For Respondent: James H. Goode, Jr. San Clemente, California CASE INFORMATION Statement of Claim filed: Augu