Award NASD Dispute Resolution In the Matter of the Arbitration Between: p r 04-00022 C. Dean Wolfe f* F?sp fy n^fiT!' g H^flrirg Sit*?' Dallas, Texas Morgan Stanley & Co., Incorporated and Alan Glazner ]S[ATTTRI7 OF TTTTT nTSPTTTTT Public Customer v. Member Firm and Associated Person Claimant C. Dean Wolfe, hereinafter referred to as "Claimant": N. Henry Simpson, m, Esq. of the firm of Simpson, Woolley & McConachie, L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kevin Hobbs, Claimant v. Lehman Brothers Inc., Karen J. Coviello, Richard S. Fuld, Jr., Elizabeth Liu, David Smythe, and Carlos Velasquez, Respondents Case Number: 04-00012 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member, Associated Persons, and Non-Associated Persons REPRESENTATION OF PARTIES For Claimant: R. Jeffery Ward, Esq. Bosco

Award NASD Dispute Resolution In the Matter of the Arbitrations Between: Citigroup Global Markets Inc. f/k/a Salomon Smith Barney, Inc., Claimant v. Kimela K. Seay, Respondent Kimela K. Seay, Counter-Claimant v. Citigroup Global Markets Inc. ffkJa Salomon Smith Barney, Inc., Counter-Respondent Case Number: 04-00009 Hearing Site: Los Angeles, California Nature of the Disputes: Member v. Associated Person Associated Person v. Member REPRESENTA

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00004 Luisa Lozano and Pierre Antoine Berniard, Claimants vs. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimants Luisa Lozano & Pierre Antoine Berniard, ("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. ("Res

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: GunnAllen Financial, Inc. (Claimant) v. Rand Alan Heckler (Respondent) Case Number: 03-09244 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant GunnAllen Financial, Inc. ("GunnAllen") hereinafter referred to as "Claimant": Jay Marc Israel, Esq., GunnAllen Financial, Inc., Hauppage, NY. Respondent Ran

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Scott demons v. Names of Respondents Gaines Berland, Inc. n/k/a GBI Capital Partners, Inc. and John Michael Rodriguez, Jr. and Name of Cross-Claimant John Michael Rodriguez, Jr. v. Name of Cross-Respondent GBI Capital Partners, Inc. Case Number: 01-01722 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Scott dem

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph A. Critelli as custodian for Matthew Critelli (Claimant) v. Citigroup Global Markets, Inc. and Dick Peer (Respondents) Case Number: 03-09243 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Joseph A. Critelli as custodian for Matthew Critelli ("Critelii") hereinafter referred to as "Claim

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven Price and Beth Price (Claimants) v. American Express Financial Advisors, Inc. and William J. Tassey (Respondents) Case Number: 03-09242 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Steven Price ("S. Price") and Beth Price ("B. Price") hereinafter collectively referred to a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Jaime Figarola Name of the Respondent Credit Suisse First Boston, Inc. Case Number: 03-09241 Hearing Site: Boca Raton, Florida Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Jaime Figarola, hereinafter referred to as "Claimant": Ronald Shindler, Esq. and Melanie S. Cherdack, Esq., Fowler White Burnett, P.A., Mi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-09234 Estate of Gerald Ferdinand, Lane Ferdinand Trustee, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Respondent. ATTORNEYS: For Claimant, Estate of Gerald Ferdinand, Lane Ferdinand Trustee, ("Claimant"), appeared John T. McGuire, Esq., of John T. McGuire & Associates, P.C., New York, NY. For Respondent, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barn