Award NASD Dispute Resolution In the Matter of the Arbitration Between: fi of thft Claimants Case Number: 04-00479 Helen McDonald, Frank S. McDonald and David A. McDonald Name of the Respondent Hearing Site: St. Louis, Missouri Stifel. Nicolaus & Co., Inc. MATIIPF OF niRPIITF Customers vs. Member Firm Richard B. Fosher, Esq. of the law firm Oakes & Fosher, LLC, located in St. Louis, Missouri, represented Claimants, Helen McDonald, Frank S. M

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Marlene Wilkins v. 04-00477 Denver, Colorado Respondents Morgan Stanley Dean Witter, Inc. and Todd S. Schmucker Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Marlene Wilkins ("Claimant") was represented by Alan C. Friedberg, Esq., of Pendleton, Friedberg, Wilson & Hennessey, P.C., Denver, Colorado. Morgan Stanley De

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dominic E. Rainone, Claimant v. TC Advisors Network f/k/a Gemisys Securities Corp. Respondent Case Number: 04-00470 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Kristin M. Cano, Esq. Law Offices of Kristin M. Cano Newport Beach, California For Respondent: Carla B. Minckley, Esq. Birge & Minckl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joacy P. Silva, Claimant v. Morgan Stanley DW Inc., Respondent Case Number: 04-00468 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Ryan B. Bakhtiari, Esq. Keith D. Fraser, Esq. Aidikoff& Uhl Beverly Hills, California For Respondent: Ronald E. Wood, Esq. Christine A. Pham, Esq. Morgan Stanle

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Herbert and Rose Lieberman (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Steven N. Jaenichen (Respondents). Case Number: 04-00465 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Herbert Lieberman ("H. Lieberman") and Rose Lieberman ("R. Lieberman"), individually and

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nicholas and Jolan D'Alessio and Marc Schwartz (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Inc. and Steven N. Jaenichen (Respondents). Case Number: 04-00464 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Nicholas and Jolan D'Alessio ("D'Alessio") and Marc Schwartz ("Schwartz")

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00454 Steven Barad, Claimant vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant Steven Barad ("Claimant"), Marshall P. Richer, Esq. of the firm Finkelstein & Partners, Albany, NY. For Respondents Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Jack B. Grubman ("Collectively Respondents"), Bradf

NASD DISPUTE RESOLUTION AWARD NASP DISPUTE RESOLUTION CASE: 04-00453 Martha I. Giover, Claimant v. MemL Lynch Pierce Feaner & Smith, Respondaits ATTORNEYS: "" ~ For Claimant, Martha J. Giover, ("Claimant* 1 ), appeared Wm. Jemison Mims, Jr. Esq., of the firm Levin, Pepantomo, Thomas, Mitchell, Echsner & Proctor, Pensaeola, FL. For Respondent, Merrill Lynch Fierce Fenner & Smith, ("Respondent?*)' appeared Kathryn R. Eldridge, Esq. of the film May

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Barbara A. M. Giblin as the Executor of the Estate of Leonard J. Giblin And 04-00450 Chicago, Illinois Name of Respondents Morgan Stanley DW Inc. Jerald Jay Hymen Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Barbara A. M. Giblin as the Executor of the Estate of Leonard J. Giblin ("Claimant"

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00442 William E. Cellar Names of the Respondents Hearing Site: Orlando, Florida UBS Financial Services, Inc. Donald Imfeld Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For William E. Cellar, hereinafter referred to as "Claimant": William L. Thompson, Esq., William L. Thompson, J