Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Robert Seltzer Trust of 1993, Claimant v. Morgan Stanley DW Inc., Respondent Case Number: 05-01535 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Eric Woosley, Esq. Law Offices of Zilinskas & Woosley Santa Barbara, California For Respondent: Ron Wood, Esq. Christine A. Pham, Esq. The Wood Gr

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00515 Julia James and John James, claimant vs. E*Trade Securities Inc., and Lori Davis, respondents. ATTORNEYS: Claimants appeared Pro Se, Cupertino, CA. For Respondents appeared Eric E. Bronson, Esq., in-house counsel, Los Angeles, CA. DATE FILED: January 31, 2001 CASE SUMMARY: Claimants alleged that respondents were negligent in making errors and changes to their account thereby c

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01528 Catherine M. Duffy, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and James Harry Guenst, (Respondents) ATTORNEYS: " Claimant appeared pro se, Langhorne, PA. For Respondents appeared Merrill Lynch, Pierce, Fenner & Smith, Inc.'s in-house counsel H. Kyeng Lee, Esq., New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: March 7, 2005

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants, Norman and Sumarni Master and Names of Respondents UBS Financial Services, Inc., and David L. Shine Case. Number: ,05-01519 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Norman and Sumarni. Master ("Claimants") were represente'd.'by John y. MaStriani, Esq., Bellaire, T

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Mary Banner, individually and as beneficiary of an IRA and Respondents Morgan Stanley DW, Inc. and SG Cowen Securities Corp. Case Number: 05-01515 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firms REPRESENTATION OF PARTIES Mary Banner, individually and as beneficiary of an IRA ("Banner" or "Claimant") was represented by T

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01493 Janet Carafa, (Claimant) vs. Citigroup Global Markets, Inc., Henry Buolbol and Edward Boulbol, (Respondents) ATTORNEYS: "~ ~~ For Claimant appeared Paul P. Pacchiana, Esq., Naples, FL. For Respondents appeared Citigroup's in-house counsel Mary Reiser, Esq., New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: March 16, 2005 CASE SUMMARY: Claiman

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan StanJey DW, Inc. (formerly Dean Witter Reynolds Inc.) (Claimant) v. Jean-Paul Schrader as Executor of the Estate of Shelby E. Schrader (Respondent) Case Number: 05-01490 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customer REPRESENTATION OF PARTIES Claimant Morgan Stanley DW, Inc. hereinafter referred to as "Claimant": Diane C. Fisher, Esq.,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01487 Wells Fargo Investments, LLC, (Claimant) vs. Brian A. Kath, (Respondent) ATTORNEYS: For Claimant appeared Diane C. Fischer, Esq., of the firm Kane & Fischer, Ltd., Chicago, IL. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 18, 2005 CASE SUMMARY: Claimant alleged that Respondent breached a contract by

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Maxine J. Borders and Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Monica Michele Gobba Case Number: 05-01483 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Maxine J. Borders ("Claimant") was represented by Anthony V. Trogan, Esq., Law Offi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Investments, LLC, Claimant, v. Gerald D. Cronenwett, Respondent. Case Number: 05-01482 Hearing Site: Indianapolis, Indiana Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Investments, LLC ("Wells Fargo"), hereinafter referred to as "Claimant": Ronald Kane, Esq. and Diane C. Fischer, Esq. of Kane & Fischer, Ltd