AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' Name of Claimant - • - • . . . ' • • Edward M. Mohr, Jr. and ' , . ' , 04-08689 1 , . , , . Chicago, Illinois Name of Respondents . Morgan Stanley DW Inc. • , ' Robert William Welnhofer . . Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Edward M. Mohr, Jr. ("Claimant") was represented by.Laurence M. Landsman, Esq. and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant D. Gene Meredith Name of the Respondents Edward D. Jones & Co. and Rick L. Duncan Case Number: 04-08682 Hearing Site: St. Louis, Missouri Nature of the Dispute: Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES D. Gene Meredith ("Meredith") hereinafter referred to as "Claimant": Steven Koslovsky, Esq. of Maryland Height

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08670 Nelson E. White, (Claimant) vs. Citigroup Global Markets, Inc., (Respondent) ATTORNEYS: For Claimant appeared Jan Graham, Esq., of the firm The Law Offices of Jan Graham, Salt Lake City, UT. For Respondent appeared A. Jamie Schupp, Esq., of the firm Neal, Gerber & Eisenberg, LLP, Chicago, IL. NATURE OF DISPUTE: Customer vs. Member " DATE FILED: December 17, 2004 CASE SUMMAR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stefan J. Chemeski (Claimant) vs. UBS Financial Services Inc. and Stephen Skinner (Respondents) Case Number: 04-08667 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Stefan J. Chemeski hereinafter referred to as "Claimant": Richard S, Order, Esq., Axinn, Veltrop & Harkrider LLP, Hartford, CT.

'Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Pravin G. Shah Jyotsana P. Shah Name nf the Respondent Wexford Clearing Services, Inc. rase Number 04-08666 Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customers vs. Member KFPKF.SKNTATTDN OF PAKTTF.S Claimants Pravin G and Jyotsana P, Shah, hereinafter collectively referred to as "Claimants", were represented by Arnold S

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08661 Richard P. Bauer and Kent M. Bauer (Claimants) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. (Respondent) ATTORNEYS: For Claimants Richard P. Bauer and Kent M. Bauer (collectively "Claimants") appeared Jan Graham, Esq., Jan Graham Law Offices, Salt Lake City, UT. For Respondent Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. ("Respondent") appea

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Frances M. Mitchell Revocable Trust and Frances M. Mitchell, sole trustee and Case Number: 04-08655 Hearing Site: Houston, Texas Names of Respondents Morgan Stanley DW, Inc., and Edward Butowsky NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Frances M. Mitchell Revocable Trust and Frances M. Mitchell, s

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeremy Marshall, (Claimant) vs. Hornblower & Weeks, Inc. and Mark E. Golden, (Respondents) Case Number: 01-00408 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Jeremy Marshall, hereinafter referred to as "Claimant": Ralph A. Gant, Esq., a sole practitioner, New York, NY. Respondent, Hornblower & Weeks, Inc. ("Hornblower"): John Rooney, Hornblower & Weeks, I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susquehanna Investment Group (Claimant) vs. UBS Securities LLC (Respondent) Case Number: 04-08653 Hearing Site: New York, New York Nature of the Dispute: Non-Member With Contract to Arbitrate vs. Member REPRESENTATION OF PARTIES Claimant Susquehanna Investment Group hereinafter referred to as "Claimant": Charles M. Hart, Esq., Wolff, Block, Schorr, and Solis-Cohen, LLP, Philadelphia

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dean Janssen and Kathleen Janssen, Claimants v. Deutsche Bank Securities, Inc. (d/b/a/ Deutsche Bank Alex Brown) and Deutsche Bank AG, Respondents Case Number: 04-08650 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Non-Member REPRESENTATION OF PARTIES For Claimants: Jeven R. Sloan, Esq. Deary Montgomery Defeo & Canada, LLP Dallas,