Award NASD Dispute Resolution Copy In the Matter of the Arbitration Between: Robert W. Allen, Claimant v. Morgan Stanley DW Inc. (f/k/a Morgan Stanley Dean Witter), Respondent Case Number: 05-04352 Hearing Site: Boise, Idaho Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Debra Brewer Hayes, Esq. Woska & Hayes, LLP Kingwood, Texas For Respondent: Debra R. Volland, Esq. Morgan Stanley DW Inc. San

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION ' I i CASE: 05-04322 Shirley Teeter, Michele Stiny and C. Peter Stiny, (Claimants) vs. Citigroup Global Markets, Inc. and Jack B. Grubman, (Respondents) ATTORNEYS: ~ For Claimants appeared Robert R. Riley, Jr., Esq., of the firm Riley & Jackson, P.C., Birmingham, AL. For Respondents appeared Mark L. Parmelee, Esq., of the firm Greenberg Traurig P.A., New York, NY. NATURE OF DISPUTE: Custo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dolores H. Messina (Claimant) v. Gilbert M. Anderson, New Horizons Asset Management Group, LLC., Steven R. Gleason, and Thomas E. Hughes (Respondents) Case Number: 05-04308 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATTON OF PARTIES Claimant Dolores H. Messina hereinafter referred to as "Claimant" appearedpro-se, at

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04299 Donald R, Carse, (Claimant) vs. UBS Financial Services Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, London, England. For Respondent appeared in-house counsel, Erin M. Naftali, Esq., Weehawken, NJ. NATURE OF DISPUTE: Customer vs. Member ~~~ DATE FILED: August 10, 2005 CASE SUMMARY: Claimant alleged that Respondent failed to execute an order to transfer investments. Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc., Claimant v. May Van Brisbin, Respondent Case Number: 05-04290 Hearing Site: Los Angetes, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant Citigroup Global Markets Inc.: Brian C. Free, Esq. Hillis Clark Martin & Peterson, P.S. Seattle, Washington For Respondent May Van Brisbin: May Yan Bris

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION i i CASE: 05-04283 Carsten Lund, (Claimant) vs. Qptionsxpress, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Bubank, CA. For Respondent appeared in-house counsel Hillary Victor, Esq., Chicago, IL. NATURE OF DISPUTE: Customer vs. Member DATE FILED: August 12, 2005 CASE SUMMARY: Claimant alleged that Respondent misrepresented and omitted material facts regarding investments in his

NASD DISPUTE RESOLUTION AWARD NA$i> DISPUTE RESOLUTION CASE: 05-04272 Frederick A. Scab and Debra Seab, (Claimants) vs. American General Securities Incorporated, Hartford Securities Distribution Co., Leroy Jack Smith, and Hartford Equity Sales Company, Inc., (Respondents) ATTORNEYS: For Claimants appeared George W. Healy, IV, Esq., of the firm George W. Healy, IV & Associates, Gulfport, MS. For Respondents American General Securities Incorporated an

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Raymond James Financial Services, Inc., Claimant v. Anssy A. Okoebor, Respondent Case Number: 05-04253 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Leslie A. Reese, Esq. Raymond James Financial Services, Inc. St. Petersburg, Florida Respondent did not enter an appearance in this matter. C

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04244 Jim L. Conley, (Claimant) vs. Edward D. Jones & Co., (Respondent) ATTORNEY^ ~ Claimant appeared pro se, Garland, TX. For Respondent appeared Trae D. Meyr, Esq., of the firm Greensfelder, Hemker & Gale, P.C., St. Lois, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: August 10, 2005 CASE SUMMARY: Claimant alleged that Respondent misrepresented material facts regarding

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04213 Citigroup Global Markets, Inc., Joseph Kennelly, Jonathan Elyachar, Jack Grubman and Kevin McCaffrey, (Claimants) vs. Linda Brennan, (Respondent) ATTORNEYS: For Claimants appeared Christopher G, Massey, Esq., of the firm Bressler, Amery & Ross, P.C., Morristown, NJ. For Respondent appeared Thomas J. Hanrahan, Esq., Glen Rock, NJ. NATURE OF DISPUTE: Member and Associated Persons v.