\ Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-00577 Morgan Keegan & Company, Inc. Name of the Respondent Hearing Site: Memphis, TN Mark Crihfield REPRESENTATION OF PARTIES For Morgan Keegan & Company, Inc. ("Morgan"), hereinafter referred to as "Claimant": Shea O'Brien Hicks, Esq., Tate, Lazarini & Beall, PLC, Memphis, TN. For Mark Crihfield ("Crihfield"), hereinafter referred to as "Respondent"

V.- NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03043 Fidelity Brokerage Services, LLC, (Claimant) vs. Orobosa Obayagbona, (Respondent) ATTORNEYS: For Claimant appeared Laurence K. Richmond, Esq., of the firm Laurence K. Richmond & Associates, P.C., Quincy, MA. Respondent appeared pro se, Houston, TX. NATURE OF DISPUTE: Member vs. Customer DATE FILED: June 9, 2005 CASE SUMMARY: Claimant alleged that Respondent failed to re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03042 Frank H. Hund, (Claimant) vs. E*Trade Securities LLC, (Respondent) Claimant appeared pro se, Durham, NC. For Respondent appeared in-house counsel John Bersin, Esq., Rancho Cordova., CA. NATURE OF DISPUTE: Customer vs. Member ~~ DATE FILED: June 16,2005 CASE SUMMARY: Claimant alleged that Respondent breached a contract and margin calls. Claimant maintained that due to Respondent's a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03024 UBS Financial Service Inc., (Claimant) vs. William E. Engellis, (Respondent) ATTORNEYS: For Claimant appeared Sandra D. Grannum, Esq., of the firm Davidsom & Grannum, LLP, Orangeburg, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 10, 2005 CASE SUMMARY: Claimant alleged that Respondent breached

r -* •* NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03003 Steven W. Adams, Guardian for Kimberly M. Adams UGMA/WA, (Claimant) vs. Morgan Stanley DW Inc., (Respondent) ATTORNEYS: For Claimant appeared Robert L. Adams, Seattle, WA. For Respondent appeared in-house counsel Mukya S. Porter, San Francisco, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: June 7, 2005 CASE SUMMARY: Claimant alleged that Respondent

CASE: 05-03002 Steven J. and Dixie L. Loser, (Claimants) vs. Charles Schwab & Co., Inc., (Respondent) ATTORNEYS: Claimants appeared pro se, York, PA. For Respondent appeared in-house counsel Katherine Nathan, Esq., San Francisco, CA. NATURE OF DISPUTE: Customers vs. Member DATE FILED: June 7, 2005 * CASE SUMMARY: Claimants alleged that Respondent improperly executed a Stop-Limit order. Claimants maintained that due to Respondent's actions, they suffered

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 05-02973 Harold Black and Carolyn Swails Name of the Respondents Hearing Site: Des Moines, Iowa Ameriprise Financial Services, Inc. and Christopher D. Leyden NATURE OF THE DISPUTE Customers vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants Harold Black ("Black") and Carolyn Swails ("Swails"), hereinafter coll

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc., Rick Phillips, Martin Erzinger, and Allan Barrows, Claimants v. Cardi Prinzi and Lori Franzke, Respondents Case Number: 05-02972 Hearing Site: San Francisco, California Nature of the Dispute: Member and Associated Persons v. Customers REPRESENTATION OF PARTIES For Claimants: Michael P. Manly, Esq. Neal, Gerber & Eisenberg, LLP Chicag

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02965 Morgan Stanley DW Inc., (Claimant) vs. Kevin A. Lenox, (Respondent) ATTORNEYS: ~ For Claimant appeared Diane C. Fischer, Esq., of the firm Kane & Fischer, Chicago, IL. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person —— — — DATE FILED: June 6, 2005 CASE SUMMARY: Claimant alleged that Respondent breached an employment cont

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Kenneth G. and Ruth E. Mayher Names of the Respondents Morgan Stanley DW Inc. Jonathan Berstein Craig Norton Christopher Babinski Florence Sider Joseph Adornato Case Number: 05-02957 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Kennet