Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sanders Terkell, (Claimant) vs. Brill Securities, Inc. and Kevin G. Major, (Respondents) Case Number: 01-00519 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Sanders Terkell, hereinafter referred to as "Claimant": Martin J. Siegel, Esq., a sole practitioner, New York, NY. Respondents, Brill Securities, Inc. ("Brill") and Kevin G. Major ("Major"), hereinaf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01596 UBS Financial Services, Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Ahmad Kaz Sharif Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Services, Inc., hereinafter referred to as "Claimant": Sandra D. Grannum, Esq. and Brent Bums, Esq., Davidson & Grannum, LLP, Orangeburg,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rizalina Llanes-Rodas, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, and David Von Stahle Respondents Case Number: 05-01587 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Dennis J. Flynn, Esq. Attorney at Law Scottsdale, Arizona For Respondents: Christopher S. Colema

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marilyn V. Dietz (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 05-01581 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Marilyn V. Dietz hereinafter referred to as "Claimant": Christopher R. Fehr, Esq., Simmons Cooper LLC. Previously represented by Nicholas P. lavarone, Esq., Simmons C

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Clara Sue DeLaney v. 05-01552 Louisville, Kentucky Respondents A.G. Edwards & Sons, Inc., and Byron Holley NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Clara Sue DeLaney ("Claimant") was represented by Edward J. Dovin, Esq., of Card Smiley Bishop & Dovin, LLP, Atlanta, Georgia. A.G. Edwards & Sons, Inc. ("AGE")

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Judith S. Kalman and 05-01549 Chicago, Illinois Name of Respondents Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Judith S. Kalman ("Claimant") was represented by John J. Muldoon, IE, Esq., Muldoon & Muldoon, P.C., Chicago, Illinois. Citigroup Global Markets, Inc. ("Respondent Citigroup") was

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Robert Seltzer Trust of 1993, Claimant v. Morgan Stanley DW Inc., Respondent Case Number: 05-01535 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Eric Woosley, Esq. Law Offices of Zilinskas & Woosley Santa Barbara, California For Respondent: Ron Wood, Esq. Christine A. Pham, Esq. The Wood Gr

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00515 Julia James and John James, claimant vs. E*Trade Securities Inc., and Lori Davis, respondents. ATTORNEYS: Claimants appeared Pro Se, Cupertino, CA. For Respondents appeared Eric E. Bronson, Esq., in-house counsel, Los Angeles, CA. DATE FILED: January 31, 2001 CASE SUMMARY: Claimants alleged that respondents were negligent in making errors and changes to their account thereby c

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01528 Catherine M. Duffy, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and James Harry Guenst, (Respondents) ATTORNEYS: " Claimant appeared pro se, Langhorne, PA. For Respondents appeared Merrill Lynch, Pierce, Fenner & Smith, Inc.'s in-house counsel H. Kyeng Lee, Esq., New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: March 7, 2005

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants, Norman and Sumarni Master and Names of Respondents UBS Financial Services, Inc., and David L. Shine Case. Number: ,05-01519 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Norman and Sumarni. Master ("Claimants") were represente'd.'by John y. MaStriani, Esq., Bellaire, T