Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kambiz Maleki, Claimant and Counter-Respondent v. E*Trade Securities, Inc., Respondent and Counter-Claimant Case Number: 01-00263 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant and Counter-Respondent: For Respondent and Counter-Claimant: Kambiz Maleki In Propria Persona Woodland Hills, California Jennifer L. Coon, Esq. Bird, Mare

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Roger Alan Keats and 04-05868 Chicago, Illinois Name of Respondents Morgan Stanley DW Inc. Rebecca Rogers Stilwell Nature of the Dispute: Associated Person vs. Member; Associated Person. REPRESENTATION OF PARTIES Roger Alan Keats ("Claimant") appeared pro se. Morgan Stanley DW Inc. ("Respondent MSDW") and Rebecca Rogers Stilwell ("Respondent S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Marc Schottenfeld Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack Grubman Case Number: 04-05860 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Marc Schottenfeld, hereinafter referred as "Claimant": Richard J. Lantinber

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05859 Rosanne Schottenfeld, Individually Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB.Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Rosanne Schottenfeld, hereinafter referred to as "Claimant": Rich

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05858 UBS Financial Services Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Carlos Alberto Calatuyud Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Services, hereinafter referred to as "Claimant": David L. Becker, Esq., Davidson & Grannum, LLP, Orangeburg, New York. Carl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: George Galet (Claimant) v. E*Trade Securities, LLC (Respondent) Case Number: 04-05853 Hearing Site: New York City, New York Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant George Galet ("Galet") hereinafter referred to as "Claimant": Appeared pro se. Respondent E*Trade Securities, LLC ("E*Trade") hereinafter referred to as "Respondent": John Bersin,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Moshe Marc Cohen ("Claimant") vs. 1717 Capital Management Company and Nationwide Provident ("Respondents") Case Number: 04-05841 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Moshe Marc Cohen hereinafter referred to as ("Claimant"): Mark A. Susswein, Esq., Liddle & Robinson, L.L.P., New Yor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Peter and Carrie Wiesel Names of the Respondent Morgan Stanley DW, Inc. Randolph Zimmer Cast* •Nnmher 04-05838 aring Site- Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Peter and Carrie Wiesel, hereinafter collectively referred to as "Claimants", were repre

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant ' ' Case Number- 04-05824 Lawrence A. Simpson, Jr. Names of the Respondents Hearing Site- Washington, D.C. Legacy Financial Services, Inc. Joseph Karsner Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OFPARTTF.S Claimant, Lawrence A. Simpson, Jr. hereinafter referred to as "Claimant", was represented by Wi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard Seller and Shun C. Soller CMT IRA Custodian, Claimants vs. Bidwell & Company, Respondent Case Number: 01-00261 Hearing Site: Portland, Oregon For Claimants: Kim T. Buckley, Esq. Esler, Stephens & Buckley Portland, Oregon For Respondent: Kevin C. Peck Bidwell & Company Portland, Oregon CASE INFORMATION Statement of Claim filed on or about: January 29