Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gerard J. Brien and Jeanne M. Brien (Claimants) vs. E*Trade Securities, LLC, ETrade Financial Corp., and ETrade Bank (Respondents) Case Number: 05-02789 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Member and Non-Members REPRESENTATION OF PARTIES Claimants Gerard J. Brien ("G. Brien") and Jeanne M. Brien ("J. Brien") hereinafter referred to as "Claimants"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Arlene Spitzer, Claimant v. Morgan Stanley DW Inc. and David Robert Lee, Respondents Case Number: 05-02676 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Leslie Schwaebe Akins, Esq. Akins & Villavicencio, LLP Carlsbad, California For Respondents: Anthony L. Valenzuela, Esq. M

Award COPY NASD Dispute Resolution ^^^^m B In the Matter of the Arbitration Between: Gary Chew, Claimant v. UBS Financial Services Inc., Respondent Case Number: 05-01979 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Anna M. Rossi Rossi & Meagher LLP San Francisco, California For Respondent: Michael J. Lawson Morgan, Lewis & Bockius LLP San Francisco, Cal

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. (Claimant) vs. Vinay Kapoor (Respondent) Case Number: 04-04871 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc., hereinafter referred to as "Claimant": Laura H. Allen, Esq., and Nich

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anne Rothberg Revocable Trust, (Claimant) vs. TD Waterhouse Investor Services, Inc., (Respondent) Case Number: 01-02367 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Anne Rothberg Revocable Trust, hereinafter referred to as "Claimant": Timothy E. Leonard, Trustee, Groton, MA. Respondent, TD Waterhouse Investor Services, Inc., hereinafter referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00266 Lorraine A. Greenhill Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc., f7k/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lorraine A. Greenhill, hereinafter referred to as "Claimant": William Young,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Baird, Patrick & Co., Inc. (Claimant) v. Maxcor Financial, Inc., P. Randolph Hill, Brian Lutz, John Drummond, and Peter Vance (Respondents) Case Number: 03-07325 Hearing Site: New York City, New York Nature of the Dispute: Member v. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Baird, Patrick & Co., Inc. ("Baird") hereinafter referred to as "Claimant": Lawrence S.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tradition Asiel Securities, Inc. (Claimant) vs. Gary A. Dorfman and Gary Dorfinan & Co., Inc. (Respondents) Case Number: 03-00423 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person and Non-Member REPRESENTATION OF PARTIES Claimant Tradition Asiel Securities, Inc. hereinafter referred to as "Claimant": Chaim A. Levin, Esq., Tradition Asiel Securi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Strathconnen Investments Pty Ltd., Claimant v. Ehrenkrantz King Nussbaum, Inc., Weatheriy Securities Corporation, Carl G. Antaki, Thomas Giugliano, and Anthony Ottimo, Respondents Case Number: 03-04525 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Members and Associated Persons REPRESENTATION OF PARTIES For Claimant Strathconnen Investments Pty

Revised Award NASD Dispute Resolution In the Matter of the Arbitration Between: r.laimants Case Number 02-06802 Commonwealth Holdings, Inc. Profit Sharing Plan & Trust, James T. Waddill, IV, Jocelyn Investors, Jeffrey Jorgensen, Kenneth Jorgensen, Eric Jorgensen, Lloyd Bernstein, Howard Borenstein, Clifford Schaefer, Mel Stewart, Angelo Armenta, Lucille Weber, individually and f/b/o Lucille Weber, IRA, Rosario Bartolotta, individually and f/b/o