*• I Award NASD Dispute Resolution In the Matter of the Arbitration Between: Randall K. and Katherine Dinwiddie, Claimants v. McDonald Investments Inc., Respondent Case Number: 05-01954 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants Randall K, and Katherine Dinwiddie: Nicholas P. lavarone, Esq. Simmons Cooper LLC East Alton, Illinois For Respondent McDonald Investments Inc

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01947 Martin Martiarena, (Claimant) vs. Ramirez & Co., Inc., (Respondent) ATTORNEYS: " ~~ For Claimant appeared Curtis E. Pew, Esq., of the Benjamin N. Cardozo School of Law, New York, NY. For Respondent appeared in-house counsel Jerry Auld, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: April 13, 2005 CASE SUMMARY: Claimant alleged that Respondent breached it

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01936 Oppenheimer & Co., Inc., (Claimant) vs. James Mariani, (Respondent) ATTORNEYS: —— For Claimant appeared in-house counsel Eric J. Shames, Esq., New York. NY. For Respondent appeared Ruthann Niosi, Esq., of the firm The Law Offices of Ruthann Niosi, Esq. P.C., New York, NY. NATURE OF DISPUTE: Member and Associated Person " ~ " DATE FILED: April 11, 2005 CASE SUMMARY: Claimant all

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01922 Jose A. Rodriguez Names of the Respondents Hearing Site: Orlando, Florida UBS Financial Services Inc. f7k/a UBS PaineWebber, Inc. Enrique Torruella Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Jose A. Rodriguez, hereinafter referred to as "Claimant," appeared pro se. For UBS Financi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas A. Bingham, Claimant v. Piper Jaflray & Co., and U.S. Bank, a Corporation, Respondents Piper Jaflray & Co., Counter-Claimant v. Thomas Bingham, Counter-Respondent Case Number: 05-01909 Hearing Site: Phoenix, Arizona Nature of the Dispute: Associated Person v. Member and Non-Member Member v. Associated Person REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lawrence D. Thomas, Esq. vs. Citigroup Global Markets, Inc. Case Number: 05-01905 Hearing Site: Charlotte, NC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Lawrence D. Thomas, hereinafter referred to as "Claimant", was represented by Lynn Williams, Esq., Woska & Hayes, LLP, Oklahoma City, Oklahoma. Respondent, Citigroup Global Markets, Inc., her

NASD DISPUTE RESOLUTION AWARD NASP DISPUTE RESOLUTION CASE: 05-01896 Craig Stephen Comeaux and Catherine Searcy Comeaux, (Claimants) vs. Charles Schwab & Co r Itic., (Respondent) ATTORNEY'S: Claimants appeared pro se, San Antonio, TX. For Respondent appeared in-house counsel Sean B- Meehan, Esq., San Francisco, CA. NATURE OF DISPUTE: Customers vs. Member DATE FILED: April 6,2005 CASE SUMMARY: Claimants alleged that Respondent breached, the c

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Keith Jennings, Claimant v. Louis Michael Nolfo, Respondent Case Number: 05-01888 Hearing Site: San Francisco. California Nature of the Dispute: Customer v. Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Attorney at Law Novato, California For Respondent: Neil S. Baritz, Esq. Baritz & Colman LLP Boca Raton, Florida CASE INFORMAT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Janet Cox, Claimant, Case Number: 05-01886 Hearing Site: St. Louis, Missouri v. Edward D. Jones & Co. and Donna J. Domian, Respondents. Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Janet Cox ("Cox"), hereinafter referred to as "Claimant": John A. Dienner, HI, Esq. of the law firm Kubasiak, Fylstra, Reizen & Rotunno, P

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Lawrence A. Jones and 01-00526 Denver, Colorado Name of Respondents Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc. James J. Mazzarisi Todd E. Leake REPRESENTATION OF PARTIES Lawrence A. Jones ("Claimant") appeared pro se. Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc. ("Respondent MSDW"), James J. Mazzarisi ("Respondent M