Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Steven D. Brockinton and Gina D. Brockinton Names of the Respondents Salomon Smith Barney and David Michael Harris Case .Number: 03-05547 Hearing Site: Little Rock, Arkansas Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Steven D. Brockinton and Gina D. Brockinton, hereinafter collectively re

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Norman H. Leslie and Robert A. Leslie and 01-01593 Minneapolis, Minnesota Name of Respondents Auerbach, Pollack & Richardson Inc. Michael Terzo REPRESENTATION OF PARTIES Norman H. Leslie and Robert A. Leslie ("Claimants") were represented by Sidney J. Spaeth, Esq., Vogel Law Firm, Fargo, North Dakota. Auerbach, Pollack & Richardson Inc. ("Re

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Joaquin Mosquera Names of the Respondents Transamerica Financial Advisors, Inc. Ramiro Rodriguez Case Number: 03-05544 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joaquin Mosquera, hereinafter referred to as "Claimant": Alan J. Foxman, Esq., Law Offic

Award NASD Dispute Resolution In the Matter of the Arbitration Between; nf fhf* rifljfpjmt Pag^ "Mnmhpr- 03-05543 Janet L. Mariani ' Dallas, Texas Morgan Stanley DW Inc.; Edward W. Butowsky; and, Bane of America Securities, LLC NATTTPF OT7 TTTff T1TSPTTTF. Public Customer v. Member Firms and an Associated Person Claimant Janet L. Mariani, hereinafter referred to as "Claimant"; Robert L. Wright, Esq., of the firm of Wright & Berry LLP, lo

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant George M. McKay and Names of Respondents Merrill Lynch Pierce Fenner & Smith Inc., and Janet Zaloga Case Number: 03-05542 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES George M. McKay ("Claimant") was represented by Gary M. Saretsky, Esq., Hertz, Schram & Sarets

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fred Pasner, Claimant v. Citigroup Global Markets, Inc., formerly known as Salomon Smith Barney, Inc. and Dustin J. Briquelet, Respondents Case Number: 03-05537 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Attorney At Law Novato, California

JUM4-05 09:l9am From-NASD Dispute Resolution 2136132677 T-096 P-002 F-735 Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Irene Bell Keenan, Conservator for the benefit of Elizabeth Wattenberger, Claimant v. Joseph Gunnar & Company, Ira Berkowitz, and Philip Fazio, Respondents , ' Case Number 03-05536 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Persons ' ^PRESENTATIO

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Theresa J. Heflin, Individually and as Personal Representative of the Estate of Samuel R. Heflin, Jr., Claimants, vs. Morgan Stanley DW, Inc. and Robert Gessler, Respondents Case Number 03-05532 Hearing Site: Nashville, TN REPRESENTATION OF PARTIES Claimant: Winston Evans, Esq., Evans, Jones & Reynolds, Nashville, TN. Respondents: Gary E. Jackson, Es

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Earl Cyphert (Claimant) v. Brian T. Petros and Merrill Lynch, Pierce, Fenner & Smith Incorporated, (Respondents) Case Number: 03-05531 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant, David Earl Cyphert IRA ("Cyphert IRA") and David E. and Norma J. Cyphert ("Cypherts"), hereinafte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David L. Deane (Claimant) v. Charles Schwab & Co., Inc. (Respondent) Case Number: 03-05530 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, David L. Deane, ("Deane"), hereinafter referred to as "Claimant" appeared pro se. Respondent, Charles Schwab & Co., Inc., ("Schwab"), hereinafter referred to as "Respondent"