NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06770 Indrouti Zaman, Claimant v. Chase Investment Services Corp., Respondent ATTORNEYS: For Claimant Indrouti Zaman ("Claimant") appeared Harry Kresky, Esq., of the Law Office of Harry Kresky, New York, NY. For Respondent Chase Investment Services Corp. ("Respondent") appeared Matthew C. Plant, Esq., of the firm Bressler, Amery & Ross, P.C., New York, NY. NATURE OF DISPUTE: Customer vs.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06766 Robert J. Gonzales, IRA Rollover Names of the Respondents Hearing Site: Tampa, Florida James Ellis Self Robert Lee White UBS Paine Webber, Inc. a/k/a UBS Financial Services, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert J. Gonzales, IRA Rollover ("Gonza

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06765 Debbie A. Robison Names of the Respondents Hearing Site: Atlanta, Georgia Merrill Lynch Pierce Fenner & Smith Jonathan Parker Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Debbie A. Robison, hereinafter referred to as "Claimant": Wade D. Ramsey, Esq., Ramsey & Associates, LLP, Bi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dorothy Hughes, Claimant Case Number: 03-06754 vs. W.S. Griffith Securities, Inc. and Salvatore J. Ferranto, Respondents. Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant, Dorothy Hughes ("Hughes"), hereinafter referred to as "Claimant": Stuart R. Berkowitz, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Petra Johansson, Claimant v. Morgan Stanley DW Inc. and Garrett E. Isaacson, Respondents Case Number: 03-06753 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: John A. Blue, Esq. Blue & Schoor LLP Los Angeles, California For Respondent Morgan Stanley DW, Inc.: Ronald E. Wood, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eldon F. Branson and Mildred C. Branson, Claimants v. Peter W. Sage and Citigroup Global Markets, Inc., Respondents Case Number: 03-06750 Hearing Site: Portland, Oregon Nature of the Dispute: Customers v. Associated Person and Member REPRESENTATION OF PARTIES For Claimants: For Respondents: Jeffrey S. Salisbury, Esq. Law Office of Jeffrey S. Salisbury Eugene, Ore

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nick Pologeoris (Claimant) v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc., Sanford Weill, Michael Carpenter, John Hoffman, Kevin McCaffrey, Jeffrey Waters and Jack Grubman (Respondents) and Steven Kevorkian (Claimant) v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc., Sanford Weill, Michael Carpenter, John Hoffman, Kevin McCaffrey, Jef

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Luigi and Dorothy Straccuzzi, Luigi Straccuzzi IRA, and Dorothy Straccuzzi IRA (Claimants) v. Morgan Stanley DW, Inc. and Gene Chamlin (Respondents) Case Number: 03-06774 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Luigi and Dorothy Straccuzzi ("the Straccuzzis"), Luigi Straccuzzi E

NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Chase Investment Services Corp., (Claimant) vs. Tucker Anthony, Inc., Alan Cook, II, Wendy Sydeski, Jeffrey Heeder, Edward D. Lipsky, and Martha Grimshaw-Killian, (Respondents) Case Number: 00-01475 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Chase Investment Services Corp., hereinafter referred to as "Claimant": Todd A. Gutfleisch, Esq., Vice President and Assis

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nnme nf the flflimanf Pase Number 03-06767 Marion O. Greene, Jr..individually and as beneficiary of his IRA Names nf the Respondents Hearing Site' Washington, D.C, Merrill Lynch, Pierce, Fenner & Smith, Inc. Lance W. Slaughter Nature of the Dispute: Customer vs. Member and Associated Person. RFPRFRFNTATION OF PARTTFR Claimant, Marion O. Greene, Jr. individuall