Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Paul T. Boscia, Claimant vs. Wells Fargo Securities Corporation, Respondent. Case Number: 00-00615 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimant, Paul T. Boscia (hereinafter referred to as "Claimant"): Frank E. Mayo, Esq., 5150 El Camino Real, Suite B-14, Los Altos, CA 94022. Respondent, Wells Fargo Securities Corporation (hereinafter referred to as "Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: >Jamp fifths Claimant Shirley D. deLong of the Respondents First Citizens Investor Services, Inc. Robert Townsend Pleasants, Jr. T- 05-00276 Hearing Site* Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. * RPPRF^RNTTATTON OFPARTTF.S Claimant, Shirley D. deLong, hereinafter referred to as "Claimant", was represented by Jo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant James P. Nagy and Case Number: 05-00266 Hearing Site: Troy, Michigan Respondent Edward D. Jones & Co. ' . • NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES James P. Nagy ("Claimant") was represented by Nicholas P. lavarone, Esq., and Rosalind M. Robertson, Esq., Simmons Cooper LLC, East Alton, Illinois. Edward D. Jones & Co. ("Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kyle and Leslie Fincel (Claimants) vs. Edward D. Jones & Co. (Respondent) Case Number: 05-00252 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers. Member REPRESENTATION OF PARTIES Claimants Kyle and Leslie Fincel hereinafter referred to as "Claimants": Keith L. Griffin, Esq., Maddox Hargett & Caruso, P.C., Fishers, IN. Respondent Edward D. Jones & Co. hereinafter ref

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William D. Youngberg and 05-00250 Chicago, Illinois Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES William D. Youngberg ("Claimant") was represented by Joel Bellows, Esq. and Helen B. Bloch, Esq., Bellows & Bellows, P.C., Chicago, Illinois. Ci

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00249 UBS Financial Services Inc., (Claimant) vs. Mark Futrell, (Respondent) ATTORNEYS: For Claimant appeared Brent A. Burns, Esq., of the firm Davidson & Grannum, LLP, Orangeburg, NY. For Respondent appeared Mark S. Hellinger, Esq., of The Hellinger Law Firm, Houston, TX. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 14, 2005 CASE SUMMARY: Claimant alleged t

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants David G. Walker and Betty Jane Walker and Names of Respondents UBS Financial Services, Inc., and Nathan J. Fruh Case Number: 05-00247 Hearing Site: Houston, Texas NATURE OF CASE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES David G. Walker and Betty Jane Walker ("Claimants") were represented by Kevin O.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00245 Ralph Walter Grabowski, Ralph E. Grabowski and Gary W. Grabowski, (Claimants) vs. Princor Financial Services Corporation, (Respondent) ATTORNEYS: Claimants appeared pro se, Pittsburgh, PA. For Respondent appeared Kenneth M. Kolaski, Esq., of the firm Reed Smith LLP, Philadelphia, PA. NATURE OF DISPUTE: Associated Persons vs. Member DATE FILED: January 18, 2005 CASE SUMMARY

Award NASD Dispute Resolution In the Matter of the Arbitration Between: New Castle Financial Group Inc., Claimant v. Scott P. Holcomb, Respondent Case Number: 05-00239 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For Claimant: Stanley S. Zinner, Esq. Greene & Zinner, P.C. White Plains, New York For Respondent: Scott P. Holcomb, Esq. In Propria Persona Mission Viejo, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Peter Robertson and Susan Robertson Names of Respondents Triad Advisors, Inc. Canterbury Investment Group, Inc. Cliff Scott Golob Case Number: 05-00233 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES For Peter Robertson and Susan Robertson, hereinafter co