Award NASD Dispute Resolution In the Matter ol the Arbitration Between: Name of the Claimant Case Number: 03-07843 Joseph Michael Araiz Name of the Respondent Hearing Site: Boca Raton, Florida I. Edward London Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES For Joseph Michael Araiz ("Araiz"), hereinafter referred to as "Claimant": Richard L. Martens, Esq. and Matthew N. Thibaut, Esq., Boose Casey Ciklin Lubitz Ma

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Johnny T. Johnston and 03-07842 Kansas City, Missouri Name of Respondents Morgan Stanley Dean Witter, Inc. and Noel D. Martin Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Johnny T. Johnston ("Claimant") was represented by Roger N. Walters, Esq., Morris, Lang, Evans, Brock, & Kennedy, Topeka,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Diana Knight and Rick Penick as the Judicially Appointed Conservators of the Person and Estate of Thomas J. Penick, a protected person and 03-07841 Phoenix, Arizona Name of Respondents Salomon Smith Barney Inc. n/k/a Citigroup Global Markets, Inc. Eric Boos Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: ' "= .; .. James M. Mooney, Trustee Under the P J. O'Neill, Jr. Children's Trust and Patrick J. O'Neill, Jr. (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and James J. Lesinski (Respondents) Case Number: 03-07830 Hearing Site: Cleveland, Ohio ; Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants James M. Mo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anthony Cesare IRA and Marie Cesare IRA (Claimants) v. Virginia M. Lendin (Respondent) Case Number: 03-07829 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Person. REPRESENTATION OF PARTIES Claimants Anthony Cesare IRA ("A. Cesare") and Marie Cesare IRA ("M. Cesare") hereinafter collectively referred to as "Claimants" appeared pro se. Respondent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-01583 Joseph Wallshein, Claimant vs. Gruntal & Co., L.L.C, Respondent. ATTORNEYS: Claimant, Joseph Wallshein, ("Claimant"), appeared Pro Se., Lake Worth, FL. Respondent, Gruntal & Co., L.L.C., ("Respondent"), appeared through its in-house counsel, Joseph DaProcida, New York, NY. DATE FILED: April 1472000 CASE SUMMARY: Claimant alleged that Respondent provided false and misleading

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Douglas F. Tumen (Claimant) v. Stephen W. Holber and Golden Triangle Securities, LLC (Respondents) Case Number: 03-07828 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Douglas F. Tumen hereinafter referred to as "Claimant": Timothy J. O'Connor, Esq., Law Office of Timothy O'Connor, Albany, NY.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Edward A. White and Edith luette White Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 03-07826 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Edward A. White and Edith luette White, hereinafter re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07824 Virgil Henke and Judy F. Henke, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: ~~~ For Claimants Virgil Henke and Judy F. Henke (collectively "Claimants") appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Geert E. Frank (Claimant) v. Morgan Stanley DW, Inc. (Respondent) Case Number: 03-07823 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Geert E. Frank ("Frank") hereinafter referred to as "Claimant": William S. Bonnheim, Esq., William S. Bonnheim, PLC, Palm Desert, CA. Respondent Morgan Stanley DW, Inc. ("MSDW")