Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-02319 Bruce M. Denkert, as Trustee for the Bruce M. Denkert Revocable Trust Names of the Respondents Hearing Site: Orlando, Florida Merrill Lynch, Pierce, Fenner& Smith, Inc. Richard C. Emerson Danny Andrew Waller, II Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Bruce M.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between Mohammed Al Nasser (Claimant) v. Sands Brothers & Co., Ltd., Sands Brothers Asset Management, Ltd., Sands Brothers Venture Capital III, LLC, Sands Brothers Asset Management, LLC, Martin Scott Sands, Steven Brett Sands, Christopher Lee, Robert Grille, George Gleusner, Glen Mckelvy and Moshe Silver (Respondents) Case Number: 03-04754 Hearing Site: New York, New York Natu

N.A.S.D. REGULATION FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Gregory B. Norris 96-03933 Name of Respondents Salomon Brothers V^set Management, Inc. Robert Schmidt REPRESENTATION Claimant Gregory B. Norris' ("Norris") documents were submitted by his representative John Lanekanu, Esq. of the law firm Lanekanu Kovner & Kurtz, LLP located in New York, New

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Fuchs, (Claimant) vs. Legg Mason Wood Walker, Incorporated, (Respondent) Case Number: 01-02368 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Richard Fuchs, hereinafter referred to as "Claimant": Mitchell H. Cobert, Esq., Attorney at Law, Morristown, NJ. Claimant originally appeared pro se. Respondent, Legg Mason Wood Walker, Incorporated, hereinafter r

N.A.S.D. AWARD NATTDNAT. ASSnTIATTON DP SPnTRTTTPS In the matter of the Arbitration Between Napie of (Claimant Vilma Turner NASD Arbitration No. 954)1552 Name of Respondents Smith Barney Shearson, Inc. and William P. Farrand RRPRF.SF1VTATTON For Claimant: Edward T. Swanson, Esq. Swanson & Meepos Santa Monica, California For Respondent: Sean J. Coughlin Smith Barney Shearson, Inc. New York, New York TASF INFORMATION St

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Mary M.Johnston v. 05-03127 Louisville, Kentucky Respondents A.G. Edwards & Sons, Inc., and Byron Holley NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Mary M. Johnston ("Claimant") was represented by Edward J. Dovin, Esq., of Dovin Malkin & Ficken, LLC, Atlanta, Georgia. A.G. Edwards & Sons, Inc. ("AGE") and Byro

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gerard J. Brien and Jeanne M. Brien (Claimants) vs. E*Trade Securities, LLC, ETrade Financial Corp., and ETrade Bank (Respondents) Case Number: 05-02789 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Member and Non-Members REPRESENTATION OF PARTIES Claimants Gerard J. Brien ("G. Brien") and Jeanne M. Brien ("J. Brien") hereinafter referred to as "Claimants"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Arlene Spitzer, Claimant v. Morgan Stanley DW Inc. and David Robert Lee, Respondents Case Number: 05-02676 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Leslie Schwaebe Akins, Esq. Akins & Villavicencio, LLP Carlsbad, California For Respondents: Anthony L. Valenzuela, Esq. M

Award COPY NASD Dispute Resolution ^^^^m B In the Matter of the Arbitration Between: Gary Chew, Claimant v. UBS Financial Services Inc., Respondent Case Number: 05-01979 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Anna M. Rossi Rossi & Meagher LLP San Francisco, California For Respondent: Michael J. Lawson Morgan, Lewis & Bockius LLP San Francisco, Cal

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. (Claimant) vs. Vinay Kapoor (Respondent) Case Number: 04-04871 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc., hereinafter referred to as "Claimant": Laura H. Allen, Esq., and Nich