NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00365 Josephine M. Evans, IRA, claimant vs. Charles E. Dean, Jr., and Dean Securities , respondents. ATTORNEYS: Claimant appeared Pro Se, Olympia, WA. Respondent Charles E. Dean appeared Pro Se, Olympia, WA. For Respondent Dean Securities, appeared Jay Randall Dean, Olympia, WA. DATE FILED: January 23, 2001 CASE SUMMARY: Claimant alleged that respondent engaged in unauthorized tradi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nftfip riaimanfrc , • Page Minuter 04-07750 Annette Gabrielle Villari Annette Gabrielle Villari, daughter Names of thp R ftfiprwiftents Hftaring Site* Philadelphia, PA Morgan Stanley DW, Inc. Anthony E. Filippello Nature of the Dispute: Customers vs. Member and Associated Person. RF.PPFSFNTATTON OF PARTIES Claimants, Annette Gabrielle Villari and Annette Gabrielle

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riai'mant Pase Number 04-07739 The Smith Barney Division of Citigroup Global Markets f/k/a Salomon Smith Barney, Inc. Name nf tbp Rf^spnndent Hearing Site: Philadelphia, PA Vincent T. Lowry Nature of the Dispute: Member vs. Associated Person. RRPRESF.NTATTON OF PARTIES Claimant, The Smith Barney Division of Citigroup Global Markets f/k/a Salomon Smith Barney,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William K. Dean (Claimant) v. Richard W. O'Donnell, Barbara K. Ross, and Mellon Investor Services, LLC (Respondents) Case Number: 04-07738 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant William K. Dean ("Dean") hereinafter referred to as "Claimant" appeared pro se. Respondents Richar

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Jocie (Salim) Moody, Claimant v. Salomon Smith Barney Inc. a/k/a Citigroup Global Markets, Inc. and Zadoc Brown, Jr., Respondents Case Number: 04-07725 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Robert Scott Dreher, Esq. Dreher Law Firm San Diego, California For Respondents

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07723 John Paukovits (Claimant) v. Joseph Engleby, Lisa M. Porter, and John Ellis (Respondents) ATTORNEYS: Claimant John Paukovits ("Claimant") appeared pro se, Northampton, PA. For Respondents Joseph Engleby, Lisa M. Porter, and John Ellis (collectively "Respondents") appeared Kimberly G. Anderson, Esq., in-house counsel, Edward Jones, St. Louis, MO. NATURE OF DISPUTE: Customer vs. Associat

• AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant • i Novella B. Barrett and 04-07716 Chicago, Illinois, Name of Respondents Morgan Stanley DW Inc. Michael L. Barnett ••••••^P^BBBB^BM^MV^BBBB^BP^BB^BMBBBMB^BBMBMBBMBMBBMB^BMB^BJWB^^B^V^M^B^BM^BMM^BMBBV^BBBHBBviB^M^WBBB^B^BI^BM^^B^B^BBM^V^BMBBB^B^W^BBV^BB^B^Bt^BBB'^M Nature of the Dispute: Customer vs. Member and Associated Person. REERESEMTAT1QN

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Paris Naimi and Zena Naimi v. Respondents Morgan Stanley DW, Inc., and Bryan Poirier And Counter-Claimant Morgan Stanley DW, Inc. v. Counter-Respondents Paris Naimi and Zena Naimi Case Number: 04-07715 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customers v. Member and Associated Person and Member v. Customers REPRESENTAT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Joel F. Spragins, M.D. Name of the Respondents Linsco/Private Ledger Corp. Charles Ben Camp, Sr. Charles Ben Camp, Jr. Case Number: 04-07713 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Persons, RF.PRF.SRNTATTON OP PARTTF.S Claimant, Joel F. Spragins, M.D., hereinafter referred to as "Claim

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claimant James J. Howard Nfttnes nf thf* Respondents CBIZ Financial Solutions, Inc. Regis Francis Larkin Joyce Kay Lapp Case Number 04-07712 Hiring SitR: Raleigh, North Carolina Nature of the Dispute: Customer vs. Member and Associated Persons. OF PARTTFS Claimant, James J. Howard, hereinafter referred to as "Claimant", was represented by Michael A.