STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Candace Enockson and Names of Respondents UBS Financial Services, Inc., and Carla Marie Jimenez Case Number:. 04-01807 Hearing Site: Chicago, Illinois NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Candace Enockson .("Claimant") was .represented by'David H. Smith, Es.q., Vanasco Genelly & Mi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William J. Begley (Claimant) v. Dresdner Kleinwort Wasserstein Group, LLC, Dresdner Kleinwort Wasserstein, LLC and Dresdner Kleinwort Wasserstein Grantchester Securities, Inc. (Respondents). Case Number: 04-01803 Hearing Site: New York City, New York Nature of the Dispute: Associated Person v. Member and Non-Members. REPRESENTATION OF PARTIES Claimant William J. Begley ("Begley"

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Patricia Schulze, Claimant v. Michael E. Long, Respondent Case Number: 04-01799 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Associated Person REPRESENTATION OF PARTIES For Claimant: Patricia Schulze Santa Rosa, California For Respondent: Jeffrey S. Salisbury, Esq. Law Office of Jeffrey S, Salisbury Eugene, Oregon CASE INFORMAT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Warren Beck, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Karen E. Mumford, Respondents Case Number: 04-01797 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Carl L. McConnell, Esq. Hoge, Fenton, Jones & Appel Inc. San Jose, California For R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: RBC Dain Rasucher, Inc., Claimant v. Rick A Gonsalves, Respondent Case Number: 04-017% Situs: San Francisco, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Kim M. Ruckdaschel-Haley, Esq. Lindquist & Vennum P.L.L.P. Minneapolis, Minnesota For Respondent: in persona propria Roseville, California CASE INFORMATION

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeff Smith and Mari Beth Smith (Claimants) v. Fred L. Dowd, Fred L. Dowd Co., Jeffrey B. Osher and Raymond James Financial Services, Inc. Case Number: 04-01792 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customers vs. Associated Persons, Non-Member and Member REPRESENTATION OF PARTIES Claimants Jeff Smith ("J. Smith") and Mari Beth Smith ("M. Smith") hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James H. Silberman and Selma Shapiro (Claimants) v. John Spooner and Salomon Smith Barney a/k/a Citigroup Global Markets, Inc. (Respondents) Case Number: 04-01791 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants James H. Silberman ("Silberman") and Selma Shapiro ("Shapiro") hereinafter collectiv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark Wenzel and Beverly J. Wenzel and Robert Horton and Franca Gioia (Claimants) v. STG Secure Trading Group, Millennium Brokerage, LLC, Richard Dalberth, Andrew Schneider, and Mamie Koroluk (Respondents) Case Number: 04-01787 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers v. Members and Associated Persons. ^ REPRESENTATION OF PARTIES Claimants, Mark Wenzel a

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Archie Coran and Katherine Goran vs. Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Anthony Agosta, and Daniel LaRosa Case Number: 04-01782 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Archie Coran and Katherine Coran ("Claimants") wer

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: J. Michael Woodlock, Claimant v. Edwin P. and Bobbie J. Myers, Camilo and Maria Cadena, Thomas and Judith Carswell, Jessie and Florida Fields, James Lee Foster and Anita Foster, Emede O. Garcia and E.D. Kriegel and Carol Kriegel, et al, Respondents r- 04-01769 REPRESENTATION OF PARTIES J. Michael Woodlock was represented by Jack D. Ballard of The Ballard Law Firm, 3700 Bu