Award NASD Dispute Resolution In the Matter of the Arbitration Between: David P. Peltier and Sarah Peltier (Claimants) v. Edmund B. Pearson, David Svete, Alexander Chase & Co., Brundyn Financial Group Corp., Brundyn Securities Inc., and A CH. Securities, Inc. (Respondents) Case Number: 05-01050 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers v. Associated Persons, Non-Members, and Terminated Members REPRESENTATION OF PARTIES Claim

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-01794 Renee C. Babenzien, Trustee of the Renee C. Babenzien Trust, claimant vs. Morgan Stanley Dean Witter, Inc. and Mark Maffei, respondents. ATTORNEYS: Claimant appeared Pro Se, West Palm Beach, FL. For Respondents appeared Keith Guiifoyle, Esq., in-house counsel, New York, NY. DATE FILED: April 9, 2001 CASE SUMMARY: Claimant alleged that respondent failed to execute a sell order

Award NASD Dispute Resolution in the Matter of the Arbitration Between: Allan Krouk (Claimant) vs. Prudential Securities, Inc. and Pruco Securities Corporation (Respondents) Case Number: 05-01049 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Members REPRESENTATION OF PARTIES •i Claimant Allan Krouk hereinafter referred to as "Claimant": Joseph B. Koczko. Esq., Thompson Hine, LLP, New York, NY. Respondents Prud

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas A. Vacchino (Claimant) vs. Fidelity Investments (Respondent) Case Number: 05-01046 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Thomas A. Vacchino hereinafter referred to as "Claimant": David P. Brauer, Esq., Brauer Law Offices, P.C., Medfield, MA. Respondent Fidelity Brokerage Services LLC hereinafter r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Connie Taylor, Claimant v. Salomon Smith Barney Inc. n/k/a Citigroup Global Markets Inc., Respondent Case Number: 05-01038 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: For Respondent: A, Daniel Woska, Esq. Woska & Hayes, LLP Okalahoma City, OK Milo Steven Marsden, Esq. Patricia Staibl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01036 Scott D. Winningham Name of the Respondent Hearing Site: Orlando, Florida Barclay A. Weyand Nature of the Dispute: Associated Person v. Customer REPRESENTATION OF PARTIES Scott D. Winningham, hereinafter referred to as "Claimant", appeared pro se. Barclay A. Weyand, hereinafter referred to as "Respondent", did not appear. CASE I

AMENDED AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Tom E. Wooten, Claimant vs. Piper Jaffray & Co. and Elise C. Tanner, Respondents Case Number: 05-01032 Situs: Dallas, Texas NATURE OF DISPUTE: Customer v. Member and Associated Person REPRESENTATION OF PARTIES: Tom E. Wooten, hereinafter referred to as "Claimant" was represented by Fredye Long Alford, Esq., located in Nashville, Arkansas. Respondent Piper Jaffray & Co. was r

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between:, Tom E. Wooten, Claimant vs. Piper Jaffray & Co. and Elise C. Tanner, Respondents Case Number: 05-01032 Situs: Dallas, Texas NATURE OF DISPUTE: Customer v. Member and Associated Person REPRESENTATION OF PARTIES: Tom E. Wooten, hereinafter referred to as "Claimant" was represented by Fredye Long Alford, Esq., located in Nashville, Arkansas. Respondent Piper Jaffray & Co. was represen

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ibrahim Khan, Claimant v. Citigroup Global Markets Inc. file/a Salomon Smith Barney Inc. and John D. Bacich, Respondents Case Number: 05-01031 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Douglas A. Ames, Esq. Law office of Douglas A. Ames Huntington Beach, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc., i7k/a Salomon Smith Barney, Inc., Claimant v. Jason A. Dominicak, Respondent Jason A. Dominicak, Counter-Claimant v. Citigroup Global Markets, Inc., ffk/a Salomon Smith Barney, Inc., Counter-Respondent Case Number: 05-01023 Hearing Site: San Diego, California Nature of the Disputes: Member v. Associated Person Associated Person v. Member