NASD DISPUTE RESOLUTION STIPULATED AWARD NASD DISPUTE RESOLUTION CASE: 04-04733 Thomas A. Devane, Claimant v. Jesup & Lament Securities Corp., Respondent ATTORNEYS^ For Claimant Thomas A. Devane ("Claimant") appeared Michael Kalnius, Esq., New York, NY. Respondent Jesup & Lament Securities Corp. ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Associated Person vs. Member. DATE FILED: June 30, 2004. CASE SUMMA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Nancy Korbett Names; of the Respondents Scott Eugene Shoup Financial Investment Analysts, Inc. Case Number- 04-04722 Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Terminated Member and Associated Person. REPRESENTATION OF PARTIES Claimant, hereinafter referred to as "Claimant", was represented by James F. Rosenburg, E

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-Q0198 Pel Pel Zheng and Richard Chow, Claimants vs. Charles Schwab, Respondent. ATTORNEYS: Claimants appeared Pro Se, Rockville, MD. For Respondent appeared Jane M. Weston, Esq., in-house counsel, San Francisco, CA. DATE FILED: January 16, 2001 CASE SUMMARY: Claimant alleged that while placing an order on respondent's online trading program that a higher buy price was recorded rathe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants James E. and Patricia B. Chapman and 04-04720 Louisville, Kentucky Names of Respondents Citigroup Global Markets, Inc. fk/a Salomon Smith Barney, Inc., and Paul D.Babaz NATURE OF THE DISPUTE Customers vs. Member Firm and Associated Person REPRESENTATION OF PARTIES James E. and Patricia B. Chapman ("Chapmans"), hereinafter referred to as ("Cl

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Fred I. Johnson and Case Number: 04-04704 Hearing Site: Louisville, Kentucky Names of Respondents Questar Capital Corp., and Thomas J. Gorter NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Fred I. Johnson ("Johnson" or "Claimant") was represented by Schuyler J. Olt, Esq., Pedley Zielke Gordinier& Pence, PL

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Raymond N. Mitchell, Jr. v. 04-04703 Denver, Colorado Nature of Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Raymond N. Mitchell, Jr. ("Claimant") was represented by Bruce J. Kaye, Esq., of Kaye & Bush, LLC, Denver, Colorado. Charles Schwab & Company, Inc. ("Respondent") was represented by Janet T. Epstein, Esq., of Charles Schwab & Company,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant •' Case Number: 04-04701 Shirley A. Lundquist Name of the Respondents " . • Hearing Site: Chicago. Illinois MONY Securities Corporation, Executive Financial Group a/k/a A.K.J. LTD., and Thomas P. Olexa Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Shirley A. Lundquist, hereinafter refer

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Carolyn B. Levin and Respondents UBS Financial Services, Inc. f/k/a UBS PaineWebber, inc., and William S. Gray Case Number: 04-04698 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Carolyn B. Levin ("Claimant") was represented by Anthony V. Trogan, Esq., and Lysa Postula-S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04694 Neal Schleifer Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. (jrubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Neal Schleifer, hereinafter referred to as "Claimant": Douglas H. Glicken, Esq., Dougla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Nicholas J. Moraitis Namq_ofthe Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Case. Number 04-04690 Hearing Site.- Pittsburg, Pennsylvania Nature of the Dispute: Customer vs. Member. KRPRRSKNTATTON OF PAKTTRS Claimant, Nicholas J. Moraitis, hereinafter referred to as "Claimant", was represented by Stephen H. Lebovitz, Esq., Lebovitz & Lebo