AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ronald Dombrowski and Names of Respondents Morgan Stanley Dean Witter, Inc. and Craig Baiter Case Number: 03-00134 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Ronald Dombrowski ("Claimant") was represented by Laurence S. Schultz, Esq., Driggers Schultz & Herbst, Tr

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Marilyn Linden Names of the Respondents Morgan Stanley Dean Witter, Inc. Robert S. Smith Robert E. Wasserman Stephen A. Jaffe Case Number: 03-00124 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Marilyn Linden ("Linden"), referred to herein as "C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Ronald J. Scott M.D., IRA Ronald J. Scott, H UTMA/F1 Ronald J. Scott, M.D. Names of the Respondents Morgan Stanley DW, Inc. Janney Montgomery Scott LLC David Kolman Hirschman Case Number: 03-00123 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ronald

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Robert Pratt and Elayne Pratt, individually and as trustee for the Robert Pratt IRA and The Elayne Pratt IRA Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith Case Number: 03-00122 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Robert Pratt and Elayne Pratt, individuall

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00121 Laura Jean Haughie Name of the Respondent Hearing Site: Boca Raton, FL Dreyfus Service Corporation Shawn Kelley Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES -****Sk ^%te.^. For Laura Jean Haughie ("Haughie"), hereinafter referred to as "Claimant": Alan J. Foxman, Esq. Alan J

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00120 Richard W. Wolf a/k/a Richard Wolfe Names of the Respondents Hearing Site: Tampa, Florida. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Sharon Kurgis Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Richard W, Wolf a/k/a Richard Wolfe, hereinafter referred to as "Claimant"

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles Schwab & Co., Inc., Claimant/ Counterrespondenl v. Anis B. Karam, Respondent/Counterclaimant Case Number: 00-04301 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimant/Counterrespondent: Mauricio S. Beugelmuns and Richard A. Karoly Charles Schwab & Co., Inc. San Francisco, California For Resppndent/Counterclaimant: Mark S. Davidson Willi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ferris, Baker Watts, Inc. (Claimant) v. Lawrence E. Kelley (Respondent) Case Number: 03-00115 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Ferris, Baker Watts, Inc. ("FBW") hereinafter referred to as "Claimant": Dana M. S. Wilson, Esq.., Ferris, Baker Watts, Inc., Baltimore, MD. Respondent Lawrence E.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles R. Hamilton (Claimant) v. Invest Financial Corporation and Richard P. Martin (Respondents) Case Number: 03-00113 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Charles R. Hamilton ("Hamilton") hereinafter referred to as "Claimant": Philip M. Giordano, Esq., Giordano, Champ

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William Peattie IRA and Ann Peattie IRA (Claimants) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and Brian Cleary (Respondents) Case Number: 03-00112 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants William Peattie IRA ("W. Peattie") and Ann Peattie IRA ("A. Peattie") her