Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Michael L. Rasche Jacqueline B. Rasche Names nf the Respondents H.D. Investment Securities, Inc. Richard E.Whitley Case Number- 04-04245 Hearing Site- Raleigh, North Carolina Nature of the Dispute: Customers vs. Member and Associated Person. RF.PRKSTT.NTATTON OF PARTIES Claimants, Michael L. Rasche and Jacqueline B. Rasche, hereinafter coll

Award NASD Dispute Resolution In the Matter of the Arbitration Between: i Name cvfthe Claimant Bernard Baker, Jr. Names nf the Respondents Financial Investment Analysts, Inc. Scott E. Shoup Theodore F, Staats Case Number 04-04239 Hearing Site- Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Persons. RRPKF.SF.NTATTON OF PARTTF.S Claimant, Bernard Baker, Jr., hereinafter referred to as "Claimant",

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04235 Robert J. Urton, IRA, Claimant v. Citigroup Global Markets, Inc. file/a Salomon Smith Barney, Inc., Respondent ATTORNEYS: For Claimant, Robert J. Urton, IRA, ("Claimant"), appeared Jan Graham, Esq., of the firm Jan Graham Law Offices, Salt Lake City, UT. Respondent, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., ("Respondent"), appeared through in-house counsel, A

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joan MacKay (Claimant) v. Wachovia Securities Financial Network, LLC (f/k/a Corporate Securities Group, Inc., First Union Securities Financial Network, Inc., JWGenesis Financial Services, Inc., Schor Securities Corporation, and Wachovia Securities Financial Network, Inc.) and Joseph Vieira (Respondents) Case Number: 04-04227 Hearing Site: New York, New York Nature of the

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Willa Poynter v. Respondents Morgan Keegan & Company, Inc., and John Sheldon Cotton and Counter-Claimant Morgan Keegan & Company, inc. v. Counter-Respondent Willa Poynter and Counter-Claimant John Sheldon Cotton v. Counter-Respondent Willa Poynter Case Number: 04-04216 Hearing Site: Louisville, Kentucky NATURE OF DI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Douglas W. Hester, (Claimant) vs. McDonald Investments, Inc. and Keycorp Company, (Respondents) Case Number: 01-00163 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant Douglas W. Hester, hereinafter referred to as "Claimant": Jeffrey M. Embleton, Esq., Mansour, Gavin, Gerlack & Manos Co., LPA, Cleveland, OH. Respondent McDonald Investments, Inc. ("McDonald"): Matt

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Glenda Joyce Boettcher, Beverly A. Robertson, Gwendolyn R. Johnson, Ernie Lee Sayre and Jerry Hunter v. 04-04215 Louisville, Kentucky Respondents A.G. Edwards & Sons, Inc., and Byron Lee Holley NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Glenda Joyce Boettcher, Beverly A. Robertson, Gwendolyn R. Johnson, Ernie Le

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Rosemary LaBorde and Respondents UBS Financial Services Inc. and Michael Lewis Block Case Number: 04-04212 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Rosemary LaBorde ("Claimant") was represented by Martin J. Brosnan, Esq., Edward M. Nahhat, Esq., and Susan M. Chrzanowski

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Clemance O. Hanania, individually and as Trustee of the Clemance OklaHanania Living Trust Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Kay Joseph J. Michael Joseph Case Number: 04-04209 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-04206 Dr. Phillip Ellman Marilyn Ellman Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. d/b/a Morgan Stanley Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Dr. Phillip Ellman and Marilyn Ellman, hereinafter collectively referred to as "Claimants": Eric M. Norstedt, Esq.