r -* •* NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03003 Steven W. Adams, Guardian for Kimberly M. Adams UGMA/WA, (Claimant) vs. Morgan Stanley DW Inc., (Respondent) ATTORNEYS: For Claimant appeared Robert L. Adams, Seattle, WA. For Respondent appeared in-house counsel Mukya S. Porter, San Francisco, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: June 7, 2005 CASE SUMMARY: Claimant alleged that Respondent

CASE: 05-03002 Steven J. and Dixie L. Loser, (Claimants) vs. Charles Schwab & Co., Inc., (Respondent) ATTORNEYS: Claimants appeared pro se, York, PA. For Respondent appeared in-house counsel Katherine Nathan, Esq., San Francisco, CA. NATURE OF DISPUTE: Customers vs. Member DATE FILED: June 7, 2005 * CASE SUMMARY: Claimants alleged that Respondent improperly executed a Stop-Limit order. Claimants maintained that due to Respondent's actions, they suffered

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 05-02973 Harold Black and Carolyn Swails Name of the Respondents Hearing Site: Des Moines, Iowa Ameriprise Financial Services, Inc. and Christopher D. Leyden NATURE OF THE DISPUTE Customers vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants Harold Black ("Black") and Carolyn Swails ("Swails"), hereinafter coll

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc., Rick Phillips, Martin Erzinger, and Allan Barrows, Claimants v. Cardi Prinzi and Lori Franzke, Respondents Case Number: 05-02972 Hearing Site: San Francisco, California Nature of the Dispute: Member and Associated Persons v. Customers REPRESENTATION OF PARTIES For Claimants: Michael P. Manly, Esq. Neal, Gerber & Eisenberg, LLP Chicag

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02965 Morgan Stanley DW Inc., (Claimant) vs. Kevin A. Lenox, (Respondent) ATTORNEYS: ~ For Claimant appeared Diane C. Fischer, Esq., of the firm Kane & Fischer, Chicago, IL. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person —— — — DATE FILED: June 6, 2005 CASE SUMMARY: Claimant alleged that Respondent breached an employment cont

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Kenneth G. and Ruth E. Mayher Names of the Respondents Morgan Stanley DW Inc. Jonathan Berstein Craig Norton Christopher Babinski Florence Sider Joseph Adornato Case Number: 05-02957 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Kennet

COPY Award NASD Dispute Resolution In the Matter of the Arbitration Between: Boosalis Options, LP, Claimant v. Howe Barnes Investments, Inc. and Michael A. Connor, Respondents Howe Barnes Investments, Inc., Counter-Claimant v. Boosalis Options, LP, Counter-Respondent Howe Barnes Investments, Inc., Cross-Claimant v. Michael A. Connor, Cross-Respondent Michael A. Connor, Cross-Claimant v. Howe Barnes Investments, Inc., Cross-Respondent Case Number: 05

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant John Kuckku, as Custodian for Ryan Christopher Kuckku UTMA/FL Natalie Nicole Kuckku UTMA/FL Case No. 01-00576 Names of Respondents JWGenesis Securities, Inc. Michael Robbins Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For John Kuckku, as Custodian for Ryan Christopher Kuckku, UTMA/FL and Natalie Nicole Kuckku, UTMA/FL, he

CASE: 05-02946 Ben S. Banayan, (Claimant) vs. Morgan Stanley DW Inc., (Respondent) ATTORNEYS: For Claimant appeared S. Ron Alikani of the firm Irvine Law Group, LLP, Irvine, CA. For Respondent appeared in-house counsel Christine A. Pham, Esq., Los Angeles, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: June 3, 2005 CASE SUMMARY: Claimant alleged that Respondent negligently handled his account by placing him in investments that were unsuitable fo

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Michael Svoboda (Claimant) vs. Westrock Advisors, Inc. and Gregory Martino (Respondents) Case Number: 05-02942 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Michael Svoboda hereinafter referred to as "Claimant": Michael Huberman, Esq., Huberman & Associates, Boca Raton, FL. Respondents Westroc