AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Lillian Kouzmanoff and 04-05332 Chicago, Illinois Name of Respondent Ameritrade, Inc., Successor in Interest to Datek Online Financial Services, LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Lillian Kouzmanoff ("Claimant") was represented by Tracy Pride Stoneman, Esq., Westcliffe, Colorado. Ameritrade, Inc., Successo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William Bing and Arlene Bing, Individually and as Trustees of the Bing Family Revocable Living Trust dated April 10, 1989, Claimants v. Citigroup Global Markets, Inc., formerly known as Salomon Smith Barney Inc. and Kandy E. Quigg, Respondents Case Number: 04-05329 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATIO

Award NASD Dispute Resolution In the Matter of the Arbitrations entitled "Micke Consolidated Case": Consolidated Case Number: 04-05322 Joshua D. Micke vs. 1717 Capital Management Company, et al (the "Micke Case") 04-05322 Jean W. Kraft Toscano, et al vs. 1717 Capital Management Company, et al (the "Toscano Case") 04-05855 James L. Heisler vs. 1717 Capital Management Company, et al (the "Heisler Case") 04-07152 Case Number: 04-05322 Hearing Site: Portlan

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05316 Raymond Frederick Conlon (Claimant) v. Charles Schwab & Co., Inc. (Respondent) ATTORNEYS: Claimant Raymond Frederick Conlon ("Claimant") appeared pro se, Laguna Beach, CA. For Respondent Charles Schwab & Co., Inc. ("Respondent") appeared Brandon K. Hemley, Esq., previously Garrett R. Wynne, Esq., in-house counsel, Charles Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: As

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mead Family Trust (Claimant) v. UBS Financial Services, Inc. and Thomas J. Frank (Respondents) Case Number: 04-05309 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Mead Family Trust hereinafter referred to as "Claimant": Mark E. Maddox, Esq., and Thomas K. Caldwell, Esq., Maddox, Harge

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants John £.. Wozniak Leanilda M. Wozniak Name's of the Respondents Vestpoint Securities, Inc. NowTrade, Corp. Charles Keith Byington Eric Glenn Hall Christopher Pat Winchell Case Number: 04-05307 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. i REPRESENTATION OF PARTIES For Jo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Jaeger, Gayleen Jaeger, and Jaeger Homes, Inc., (Claimants) vs. Thomas T. O'Brien, Trubee, Collins & Co., Inc., and William Pictor, (Respondents) Case Number: 01-00229 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimants, Michael Jaeger ("M. Jaeger"), Gayleen Jaeger ("G. Jaeger"), and Jaeger Homes, Inc. ("JHI"), hereinafter collectively referred to as "Claiman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary R. Benton (Claimant) v. Butler Wick & Co., Inc., Barbara D' Alesandro, and Robert Gardner (Respondents) Case Number: 04-05302 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Mary R. Benton ("Benton") hereinafter referred to as "Claimant": James S. Jones, Esq., James S. Jones, L.P.A., Poland,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Tyrone M. Ball and 04-05292 Chicago, Illinois Name of Respondents Southwest Securities, Inc. EXT ELECTRONIC EXCHANGE TRADING, INC. Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Tyrone M. Ball ("Claimant") appeared pro se. Southwest Securities, Inc. ("Respondent SWS") was represented by Steven R. Pitzner, Esq., Roach LL

t1-30-2004 09:45a m From- ~ " ~ ~ T-827 p. 002/003 F-705 NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05291 Parker/Hunter Incorporated, Claimant v. Gail A- Mariana, Respondent ATTORNEYS: For Claimant Parker/Hunter Incorporated ("Claimant") appeared Jay W. Lewis, Esq., in-house counsel, P raker/Hunter Incorporated, Pittsburgh, PA. Respondent GaiL A- Mariana ("Respondent 1 *) aprpeared pro se, Wexford, PA.