Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: - f*iflirnflpt B Pggp Kfrirnhp.]" 03-04605 Robert and Susan Grandys ft ^f Tb ft K ftg p n n < 1 p rt c: Hearing Sit?- Dallas, Texas Christopher Noel Williams Wells Fargo Investments, LLC Ol? PRTTFS Claimants Robert F. Grandys and Susan G. Grandys ("Claimants") were represented by Rachel R. Hranitzky, Hiersche

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Sylvia Sauceda and Case Number: 03-04604 Hearing Site: Houston, Texas Names of Respondents Morgan Stanley & Co. d/b/a Morgan Stanley Dean Witter, Morgan Stanley DW, Inc. d/b/a Morgan Stanley Dean Witter, and Alfonso Asencio NATURE OF DISPUTE Customer v. Member Firms and Associated Person REPRESENTATION OF PARTIES Sylvia Sauceda ("Claimant") wa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jay S. Lee, Direct Access Trader Corporation and InvestIN Securities Corporation, Claimants/Counter-Respondents v. Hanmi Securities, Inc., Respondent/Counter-Claimant Case Number: 01-01479 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person, Non-Member and Member vs. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent Jay S. Lee: George T. Kel

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thft Claimant Pase Number- 03-04603 Russell Schieder, Jr. Names nf the Respondents Hearing Site- Philadelphia, PA Richard Flora Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Associated Person and Member RFPttESF.NTATTON OF PARTIES Claimant, Russell Schieder, Jr., hereinafter referred to as "Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: A.L. Bruner, Marilyn Bruner and B & C Housing, Inc., a California Limited Partnership, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case Number: 03-04586 Hearing Site: Portland, Oregon Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Robert A. Graham, Jr., Esq. The Law Offices of Robert A. Graham, Jr. Grants Pass

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04584 Leander W. Hughley, Trustee of the Johnny L. Hughley Sr. and Leander W. Hughley Family Trust Names of the Respondents Hearing Site: Atlanta, Georgia Byron Rainner William P. Chien Synergy Investment Group, LLC Penson Financial Services, Inc. MetLife Securities, Inc. Michael Chien Kevin Begley Nature of the Disput

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC f/k/a Wachovia Securities, Inc., Claimant v. Donald A. Duarte, Jr. Respondent Case Number: 03-04580 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Diane C. Fischer, Esq. Robert C. Scremin, Esq. Kane & Fischer, Ltd. Chicago, Illinois For Respondent: In

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Isak Altman and Hava Jakobson (Claimants) vs. Herzog Heine Geduld, Investec Ernst & Company, and Dennis G. Collins, in (Respondents) Case Number: 03-04577 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Person REPRESENTATION OF PARTIES Claimants Isak Altman ("Altman") and Hava Jakobson ("Jakobson"), hereinafter collectively

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rita Sand and Rita Sand IRA (Claimants) v. Kirlin Securities, Inc. (Respondent) Case Number: 03-04576 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member. REPRESENTATION OF PARTIES Claimants Rita Sand ("Sand") and Rita Sand IRA ("Sand IRA") hereinafter collectively referred to as "Claimants": Robert G. Heim, Esq., Meyers & Heim, LLP, New York, NY. Res

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Glenn Easton ragft Number 03-04575 Names of the Deutsche Bank Securities, Inc. Richard Christopher Courtney Site- Washington, D.C. Nature of the Dispute: Customer vs. Member and Associated Person. RFPRFSFNTATTON OF PARTTP.S Claimant, Glenn Easton , hereinafter referred to as "Claimant", was represented by W. Scott Greco, Esq., Grec