Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number- 04-07342 Shawn P. McLaughlin Name of the R pspnndent Hearing Site' Washington, D.C. Legg Mason Wood Walker, Inc. Nature of the Dispute: Associated Person vs. Member. PFPRFSFNTATTON OF PARTIFS Claimant, Shawn P. McLaughlin, hereinafter referred to as "Claimant", was represented by Janet K. DeCosta, Esq., Law Offices of Janet K. DeCosta, Washi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jill D. Cooley and John M. Schmittberger, JTWROS (Claimants) v. Citicorp Investment Services, Inc., Lawrence Shender, and Phillip Groton (Respondents) Case Number: 01-00325 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Jill D. Cooley ("Cooley") and John M. Schmittberger ("Schmittberger") JT

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jyotsona K. Bhatt, the Loyola Limited Partnership and the Jyotsona Bhatt Family Limited Partnership [a.k.a The J. Bhatt First Family Limited Partnership] 04-07337 Chicago, Illinois Name of Respondents Merrill Lynch, Pierce, Fenner& Smith, Inc.; Ronald Samuel Ventura; and Anne Mary Finley Name of Third-Party Respondents Kishor Bhatt,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number! 04-07334 UBS Financial Services, Inc. Name nf the Respondent Hearing Site' Pittsburgh, PA Steven Schaefer Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, UBS Financial Services, Inc., hereinafter referred to as "Claimant", was represented by Brent A. Burns, Esq., Davidson & Grannum, LLP, Orangeburg, Ne

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07322 Mel Lipkin and Loraine M. Lipkin (Claimants) v. Prudential Equity Group, LLC f7k/a Prudential Securities, Inc. (Respondent) ATTORNEYS: For Claimants Mel Lipkin and Loraine M. Lipkin ("Claimants") appeared William H. Moore, Esq., of the firm Moore, Taylor & Thomas, P.A., West Columbia, SC. For Respondent Prudential Equity Group, LLC fk/a Prudential Securities Inc. ("Respondent") app

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Polly S. Gibson (Claimant) v. Pruco Securities, LLC and Jodd L. Frey (Respondents) Case Number: 04-07320 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Polly S. Gibson ("Gibson") hereinafter referred to as "Claimant": William D. Robitzek, Esq., Berman & Simmons, P.A., Lewiston, ME. Responde

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07319 Oppenheimer & Co., Inc., Claimant v. Charles E. Dippel, Respondent ATTORNEYS: " " " ~ For Claimant Oppenheimer & Co., Inc. ("Claimant") appeared Eric J. Shames, Esq., in-house counsel, Oppenheimer & Co., Inc., New York, NY. Respondent Charles Dippel ("Respondent") appeared pro se, Marietta, GA. NATURE OF DISPUTE: Member v.^Associated Person. ! DATE FILED: October 15, 2004. CASE

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Neal Smith v. 04-07313 Louisville, Kentucky Respondents Morgan Stanley Dean Witter, Inc., and Michael F. Brinlee NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES ,Neal Smith ("Claimant") was represented by Charles C. Mihalek, Esq., and Steven M, McCauley, Esq., of Charles C. Mihalek, P.S.C., Lexington, Kentucky.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: DONALD L. GIESELMAN and Case Number: 04-07310 BEVERLY L. GIESELMAN, Individually Hearing Site: St. Louis, Missouri and Trustees of their respective IRA Accounts, Claimants, v. LfNSCO/PRIVATE LEDGER and JOSEPH ALTIC, Respondents. NATURE OF THE DISPUTE Customers vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Donald L. Gieselman and B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-07305 Ronald A. and Carol R. Lucian Names of the Respondents Hearing Site: Orlando, Florida Edward D. Jones & Co., L.P. JohnM. Boyett, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ronald A. and Carol R. Lucian, hereinafter collectively referred to as "Claimants": Joel J. Ewusiak