AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant/Counter-Respondent Giovanni Volpe and Respondent/Counter-Claimant McDonald investments, Inc. Case Number: 04-00346 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Associated Person v. Member and Member v. Associated Person REPRESENTATION OF PARTIES Giovanni Volpe ("Claimant 11 or "Volpe") was represented by Mark R. Werder, Esq., Honigman

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Emprise Bank, Trustee of the Charles Dennis Towns Trust and 00-05571 Kansas City, Missouri Name of Respondents Prudential Securities, Inc. Thomas G. Stuhlsatz REPRESENTATION OF PARTIES Emprise Bank, Trustee of the Charles Dennis Towns Trust ("Claimant") was represented by Susan R. Schrag, Esq., Morris, Laing, Evans, Brock & Kennedy, Chtd., Wichi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00340 Joseph Reap, Claimant v. Aldo Puletti, Respondent ATTORNEYS: For Claimant, Joseph Reap, ("Claimant"), appeared David A. Checcio, Esq., of Bressler, Amery & Ross, P.C., Morristown, NJ. For Respondent, Aldo Puletti, ("Respondent"), appeared Charles O'Rourke, Esq., Woodbury, NY. NATURE OF DISPUTE: Associated Person vs. Customer. DATE FILED: January 20, 2004. CASE SUMMARY: Clai

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joseph A. Witt, Jr. and Names of Respondents Bathgate Capital Partners, LLC, Steven Bathgate and Richard Tyson Huebner Case Number: 04-00330 Hearing Site: Denver, Colorado NATURE OF DISPUTE Associated Person v. Member Firm and Associate Persons REPRESENTATION OF PARTIES Joseph A. Witt, Jr. ("Claimant") was represented by Patrick D. Vellone

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant John Edward Krivacs v. 04-00328 Denver, Colorado Respondents Cascade Investment Group, Inc., Myron T. Bagley, David J. Turner and Cascade Financial Management, Inc. and Counter-Claimants Cascade Financial Management, Inc., Myron T. Bagley and David J. Turner v. Counter-Respondent John Edward Krivacs Nature of Dispute: Associated Person

Stipulated Arbitration Award NASD Dispute Resolution In the Matter of the Arbitration Between: ANN MITCHELL Claimant, and MORGAN STANLEY DW INC. and EDWARD WAYNE BUTOWSKY, Respondents. § § § § NASD Arbitration No. 04-00325 § Hearing Location: Dallas, Texas § § § NATURE OF THE DISPUTE Public Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant Ann Mitchell, hereinafter referr

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between Ray and Sarah Noret, Noret Petroleum Partnership, Noret Theaters, Inc., and Showplace, Inc. NASD Arbitration No. 04-00322 v. UBS PaineWebber, Incorporated, . $k/a PaineWebber, Inc., Montague Hasie, Todd Hasie, Elizabeth Staley, and A. Bruce Stacy Hearing Location: Dallas, Texas NATURE OF THE DISPUTE Public Customers v. Member Firm and Associated Per

10/03/-2005 15:03 FAX NASD 003/007 STIPULATED AW4JO> NASD Dispute Resolution :+* •? D & U W L=I r>, 4£-a In the Matter of the Arbitration Between NameofClahnant David G.Fteeman and Name of Respondents Wells Fargo Investments, LUC Annette G. Musa Lisa Gayle Baud 04-00319 Phoenix, Arizona Nature of the Dispute: Customer vs. Menjtber and Associ ited Persons David 0. Freeman ("Claimant") was represente

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00315 E. Walton Brown Names of the Respondents Hearing Site: Atlanta, Georgia UBS PaineWebber, Inc. Glenn E. Brandon, Jr. J.C. Bradford & Co. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For E. Walton Brown, hereinafter referred to as "Claimant": Don B. Long, Esq. and T. Charles Fry,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00309 Eleanor Giroux n/k/a Eleanor Giroux Erickson, Trustee FBO Eleanor Giroux u/a/d 03/15/96, Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., CRD #7059; Richard M. Stern, CRD #825096; William James, CRD #1249254 Nature of the Dispute: Customer