Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03877 Cleopatra M. Abdou Nefertiti B. Abdou Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Edward J. Warticki Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Cleopatra M. Abdou and Nefertiti B. Abdou, hereinafte

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ( Name of Claimant Joyce Ann Krochta and 03-03867 Chicago, Illinois Name of Respondents Mesirow Financial, Inc. Liss Financial Services a/k/a J.E. Liss & Company, Inc. » Wayne D. Shook Nature of the Dispute: Customer vs. Member, Terminated Member and Associated Person. REPRESENTATION OF PARTIES Joyce Ann Krochta ("Claimant") was represented by Richard A. Mayer

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas M. Cappels & Michele D. Cappels, Trustees of the Thomas M. Cappels & Michele D. Cappels Family Trust DTD 3/23/99, PaineWebber Gust. Rollover IRA Tom Cappels, PaineWebber Cust. Roth IRA Michele Cappels, Thomas Cappels C/F James Cappels CA UTMA, Thomas Cappels C/F Amy Cappels CA UTMA, Tom Cappels IRA FBO James Cappels and Tom Cappels IRA FBO Amy Cappels, Claimants, vs. U

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE:03~03858 Raymond F. Faby, Claimant v. Ronnie J. King and Frances S. King, Respondents. ATTORNEYS: For Claimant, Raymond F. Faby, ("Claimant"), appeared through the associated firm at the time of the dispute, in-house counsel of Morgan Stanley DW, Inc., Howard Sendroritz, Esq., New York, NY. For Respondents, Ronnie J. King and Frances S. King, ("Respondents"), appeared William N. Butler, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James M. Harris, Jr. (Claimant) v. HD Brous & Company, Alex Brown Incorporated and Joseph Jacoby (Respondents). Case Number: 01-01374 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, James M. Harris, Jr. ("Mr. Harris") was represented by William S. Shepherd of the firm Shepherd & Smith, P.C. located in Houston, Texas. Respondents, HD Brous & Co., Inc. (

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03857 Laurence Pilgeram, Claimant v. Shawn P. Fowler, Respondent ATTORNEYS: Claimant, Laurence Pilgeram, ("Claimant"), appeared pro se, Goleta, CA. For Respondent, Shawn P. Fowler, ("Respondent"), appeared David R. Ball, Esq., of the firm Holme, Roberts & Owen, LLP, Denver, CO. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: May 28, 2003 CASE SUMMARY: Claimant alleged th

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03856 Laurence Pilgeram, Claimant v. Barney N. Barnato, Respondent. ATTORNEYS: Claimant, Laurence Pilgeram, ("Claimant"), appeared pro se, Goleta, CA. For Respondent, Barney N. Barnato, ("Respondent"), appeared Peter R. Boutin, Esq., of the firm Keesal, Young & Logan, San Francisco, CA. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: May 28, 2003 CASE SUMMARY: Claimant a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03855 Laurence Pilgeram TTEE Pilgeram TR, Claimant v. David E. Weiner, Respondent, ATTORNEYS: Claimant, Laurence Pilgeram TTEE Pilgeram TR, ("Claimant"), appeared pro se, Goleta, CA. Respondent, David E. Weiner, ("Respondent"), appeared pro se, Tenafly, NJ. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: May 28, 2003 CASE SUMMARY: Claimant alleged that Respondent was neglige

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03854 Carl G. Johnson, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., Jack B. Grubman, and Sandy I. Weill, Respondents. ATTORNEYS: Claimant, Carl G. Johnson, ("Claimant"), appeared pro se, Hendersonville, TN. Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., Jack B. Grubman, and Sandy I. Weill, (collectively "Respondents"), appeared thr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Freya Chernin IRA R/O (Claimant) v. UBS PaineWebber, Inc. n/k/a UBS Financial Services, Inc. and Arlene Kaplan (Respondents) Case Number: 03-03853 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Freya Chernin IRA R/O ("Chernin") hereinafter referred to as "Claimant": Patrick T. Collins, Esq., F