Award NASD Dispute Resolution In the Matter of the Arbitration Between: Athena Ploumis (Claimant) v. The Thompson Group, Inc. and Allen L. Thompson (Respondents) Case Number: 03-02370 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Athena Ploumis ("Ploumis") hereinafter referred to as "Claimant": Donovan L. Wickline, Esq., Brooklyn, NY. Respondents The Thompson

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Karim Abukhadra (Claimant) v. UBS Financial Services, Inc. f7k/a UBS Paine Webber, Inc. (Respondent) Case Number: 03-02369 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Karim Abukhadra ("Abukhadra") hereinafter referred to as "Claimant": David B. Gordon, Esq., Schoeman, Updike & Kaufman, LLP, New York, NY. Res

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Iran Moosiki, Claimant v. UBS Financial Services Inc. f/k/a UBS Paine Webber Inc., Lynne L. Thompson, and Michael Connole, Respondents Case Number: 03-02366 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Michael Roofian, Esq. Michael Roofian & Associates, P.C. Los Angel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Relyea Trust (Claimant) v. Ameritrade, Inc. n/k/a J.P. Securities, Inc. (Respondent) Case Number: 03-02360 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant The Relyea Trust ("The Relyea Trust") hereinafter referred to as "Claimant" appeared pro se through Michael J. Relyea, FPO AP 96379. Respondent Ameritrade, Inc

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joanne Giudicelli and Roger Giudicelli, Claimants v. Kurt W. Rauzi, Rauzi Neeley Armanino & Powers, Ltd., Navitas, Ltd. and ePLANNING Securities, Inc., Respondents Case Number: 03-02355 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Non-Members, Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Dennis J. Canty, Esq. Pin

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number- 01-01213 Peter Lawler Name of thp Respondent Hearing Site: Washington, D.C. Charles Schwab & Company, Inc. PAKTTFS Claimant, Peter Lawler ("Lawler"), hereinafter referred to as "Claimant": William S. Burroughs, Esq., Attorney at Law, Arlington, VA. Respondent, Charles Schwab & Company, Inc. ("Schwab"), hereinafter referred to as "R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Andrew Rosenthal, Claimant v. Merrill Lynch, Pierce, Case Number: 03-02354 Fenner & Smith, Inc., Respondent ing Site: San Francisco, California Hearing Nature of the Dispute: Customer v. Member For Claimant: For Respondent: Jo] in W. Davis, Esq. Offices of John W. Davis Sab Francisco, California Law John J. Murphy, HI, Esq. Stradley Ronon Stevens

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Jose Cristian Perez Darias, Alumino y Accesorios, S.A. and Alumino y Accessories de Mexico, S.A. and Names of Respondents Citigroup Global Markets, Inc. and Juan M. Garcia NASD Case No. 03-02353 Hearing Location: Houston, Texas NATURE OF CASE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Jose

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Alberto Robledo Serrano, Maria E. Villavlcenclo, Yolanda F. Robledo and Maria R. Robledo NASD Case: 03-02351 Hearing Site: Houston, Texas and Names of Respondents Citigroup Global Markets, Inc. and Juan M. Garcia NATURE OF Customers v. Member Firm and Associated Person REPRESENTATION. OF PARTIES Alberto Robledo Serrano, Ma

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-02346 Michael A. Murray Michael A. Murray IRA Michael A. Murray IRRA Southern Minerals, Inc. Aries Gas Company, Inc. Eagle Gas Company, Inc. Mad Investments, Inc. Map Investments, Inc. One Company, Inc. Two Venture, Inc. Three Venture, Inc. Four Venture, Inc. Five Venture, Inc. Names of the Respond