'Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Pravin G. Shah Jyotsana P. Shah Name nf the Respondent Wexford Clearing Services, Inc. rase Number 04-08666 Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customers vs. Member KFPKF.SKNTATTDN OF PAKTTF.S Claimants Pravin G and Jyotsana P, Shah, hereinafter collectively referred to as "Claimants", were represented by Arnold S

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08661 Richard P. Bauer and Kent M. Bauer (Claimants) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. (Respondent) ATTORNEYS: For Claimants Richard P. Bauer and Kent M. Bauer (collectively "Claimants") appeared Jan Graham, Esq., Jan Graham Law Offices, Salt Lake City, UT. For Respondent Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. ("Respondent") appea

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Frances M. Mitchell Revocable Trust and Frances M. Mitchell, sole trustee and Case Number: 04-08655 Hearing Site: Houston, Texas Names of Respondents Morgan Stanley DW, Inc., and Edward Butowsky NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Frances M. Mitchell Revocable Trust and Frances M. Mitchell, s

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeremy Marshall, (Claimant) vs. Hornblower & Weeks, Inc. and Mark E. Golden, (Respondents) Case Number: 01-00408 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Jeremy Marshall, hereinafter referred to as "Claimant": Ralph A. Gant, Esq., a sole practitioner, New York, NY. Respondent, Hornblower & Weeks, Inc. ("Hornblower"): John Rooney, Hornblower & Weeks, I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susquehanna Investment Group (Claimant) vs. UBS Securities LLC (Respondent) Case Number: 04-08653 Hearing Site: New York, New York Nature of the Dispute: Non-Member With Contract to Arbitrate vs. Member REPRESENTATION OF PARTIES Claimant Susquehanna Investment Group hereinafter referred to as "Claimant": Charles M. Hart, Esq., Wolff, Block, Schorr, and Solis-Cohen, LLP, Philadelphia

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dean Janssen and Kathleen Janssen, Claimants v. Deutsche Bank Securities, Inc. (d/b/a/ Deutsche Bank Alex Brown) and Deutsche Bank AG, Respondents Case Number: 04-08650 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Non-Member REPRESENTATION OF PARTIES For Claimants: Jeven R. Sloan, Esq. Deary Montgomery Defeo & Canada, LLP Dallas,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: E. Richard Meinert and Sharon Meinert, Claimants v. Raymond James Financial Services, Inc. and Peter Wesson Cline, Respondents Case Number: 04-08649 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: John A. Bender, Esq. Ryan, Swanson & Cleveland, PLLC Seattle, Washington

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08641 Donald C. Laughrey, IRA and Viriginia J. Laughrey, IRA, (Claimants) vs. Davidson Trust Co., (Respondent) ATTORNEYS: ~~ ~~ Claimants appeared pro se, Vacaville, CA. For Respondent appeared Thomas A. Marra, Esq., of the firm Marra, Sexe & Evenson, P.C., Great Falls, MT. NATURE OF DISPUTE: Customers vs. Non-Member DATE FILED: December 23, 2004 CASE SUMMARY: Claimants alleged t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08637 Hershel and Phyllis Houk (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) ATTORNEYS: For Claimants Hershel and Phyllis Houk (collectively "Claimants") appeared Debra Brewer Hayes, Esq., of the firm Woska & Hayes, LLP, Kingwood, TX. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Angela A. Turiano, Esq., in-house counsel, Mer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sheldon Keitel (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc. (Respondent) Case Number: 04-08630 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Sheldon Keitei hereinafter referred to as "Claimant" appeared pro se. Previously represented by Milton H. Fried, Jr. Esq., Woska & Hayes, LLP, Kingwood, TX. Res