AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Stanley L. Drassler and Case Number: 04-05591 Hearing Site: Chicago, Illinois Respondent Morgan Stanley Dean Witter, Inc. NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES Stanley L. Drassler ("Claimant") was represented by Liam O'Brien, Esq. of Liam O'Brian & Associates, located in New York, New York. Morgan Stanley Dean Witter, Inc. ("R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wedbush Morgan Securities Inc., Claimant v. Robert E. Tschan II, Respondent Case Number: 04-05590 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Gary Holmes, Esq. Wedbush Morgan Securities Inc. Los Angeles, California For Respondent: Robert E. Tschan, n ProSe Henderson, Nevada CASE IN

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Raymond James & Associates, Inc. Case No. 01-00244 Name of Respondent Steven A. Koch Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Raymond James & Associates, Inc. ("Raymond James"), hereinafter referred to as "Claimant": Shepherd D. Tate, Esq. and Rebecca C. Davis, Esq. of Tate, Lazarini & Beall, P-LC, Memphis, Tennessee. For S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: riaimant £&sfi_Numhfit: 04-05580 Sean Michael Flavin Names nf the ttraprmdpnts Hearing Site: Pittsburgh, Pennsylvani Legg Mason Wood Walker, Incorporated Steven Fischetti - Nature of the Dispute: Associated Person vs. Member and Associated Person. RFPKFSFNTATTOTSI OF PABTTFS Claimant, Sean Michael Flavin, hereinafter referred to as "Claimant", was represented by Jay B. K

Award NASD Dispute Resolution In the Matter of the Arbitration Between: of the Claimants Christopher W. Clavin Donald S. Schultz Carl A. Schultz William M. Schultz Namp; nf the Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Case Number- 04-05579 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTTFS Claimants, Christopher W. Clavin (

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05577 Ryan Beck & Co., Inc., (Claimant) vs. Thomas W. Fox, (Respondent) ATTORNEYS: ~~ For Claimant appeared in-house counsel Joanne M. Spataro, Esq., Livingston, NJ. For Respondent appeared Gregory G. Paul, Esq., of the firm Peirce, Raimond & Coulter, P.C., Pittsburg, PA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 5, 2004 CASE SUMMARY: Claimant alleged that Res

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harold Spizer, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Linda Lee Flower, and Gregory Lee Leahy, Respondents Case Number: 04-05562 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: William S. Bonnheim, Esq. William S. Bonnheim, PLC Palm Desert, Calif

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank J. Walker and Frank J. Walker IRA (Claimants) v. Merrill Lynch Pierce Fenner and Smith and Dale E. Belz (Respondents) Case Number: 04-05555 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Frank J. Walker ("Walker") and Frank J. Walker IRA ("Walker IRA"), hereinafter collectively referred

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James R. Jankowski and Names of Respondents Prudential Equity Group, LLC, Wachovia Securities, LLC, Jeffrey Scott Roblyer, and Michael E. Murray Case Number: 04-05550 Hearing Site: Oklahoma City, Oklahoma NATURE OF DISPUTE Customer v. Members and Associated Persons REPRESENTATION OF PARTIES James R. Jankowski ("Claimant") was represent

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Stephanie Gary and Case Number: 04-05549 Hearing Site: Houston, Texas Names of Respondents UBS Financial Services, Inc., Joseph Jordan Cunneff, John Arthur Hicks, and Lydia Monroe Sullivan NATURE OF DISPUTE Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Stephanie Gary ("Claimant") was represented by Ross Spence, E