Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riaimant Cast* Nnmhpr- 04-08404 Amy Keller Names of the Respondents Hparing Sit^- Pittsburgh, PA Edward Harris Linsco/Private Ledger Corporation Nature of the Dispute: Customer vs. Member and Associated Person. RF.PttF.SPNT ATION OF PARTTF.S Claimant, Amy Keller, hereinafter referred to as "Claimant", was represented by David Longood, Esq., Law Offices of Dav

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Margaret Buckley, (Claimant) vs. Dirks & Company, Inc., (Respondent) Case Number: 01-00385 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Margaret Buckley, hereinafter referred to as "Claimant": Julie Withers, Legal Intern, Lincoln Square Legal Services, Inc., New York, NY. Respondent, Dirks & Company, Inc., hereinafter referred to as "Respondent": David

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Curtis E. Massood and 04-08402 Kansas City, Missouri Name of Respondents First MidAmerica Investment Corp. Douglas W. Hemke Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATTON OF PARTIES Curtis E. Massood ("Claimant") was represented by John J. Miller, Esq., Law Office of John J. Miller, P.C., Kansas City, Missouri.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patrick 1 Pullinzi ("Claimant") v. Citigroup Global Markets, Inc. ("Respondent") Case Number: 04-08391 Hearing Site: Buffalo, New York Nature of the Dispute: Customer v Member REPRESENTATION OF PARTIES Claimant Patrick L Pullinzi ("Pullinzi") hereinafter referred to as "Claimant": Stuart E. Finer, Esq., Law Offices of Finer & Giruzzi-Mosca, Utica, NY. Respondent Citig

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cynthia Roney and David Maywalt, Claimants v. Raymond James Financial Services, Inc. and Howard R. Polen, Respondents Case Number: 04-08383 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Richard D. Brady, Esq. Tacoma, Washington For Respondents: Jerrod B. Smith, Esq. Tate

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Albert and Elsie Bertalmio and 04-08366 Chicago, Illinois Name of Respondent Ameritrade, Inc nka J.P. Securities Inc Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Albeit and Elsie Bertalmio ("Claimants") were represented by Albert Bertalmio, Elmhurst, Illinois. Ameritrade, Inc. nka J.P. Securities Inc. ("Respondent") was repre

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08354 Laura L. Leets, Claimant v. UBS Financial Services, Inc. f/k/a PaineWebber, Inc., Respondent ATTORNEYS: Claimant Laura L. Leets ("Claimant") appeared pro se, Los Angeles, CA. For Respondent UBS Financial Services, Inc. f/k/a PaineWebber, Inc. ("Respondent") appeared Payne L. Templeton, Esq., in-house counsel, UBS Financial Services, Inc., Los Angeles, CA. NATURE OF DISPUTE: Customer vs

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles W. and Ruth M. Scott (Claimants) vs. Salomon Smith Barney d/b/a Citigroup Global Markets, Inc., and Alan Paul Weilacher (Respondents) ..; Case Number:04-08351 Hearing Site: Cleveland, Ohio. Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Charles W. Scott ("C. Scott") and Ruth M. Scott ("R. Scott") hereinafter collectively

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case Number: 04-08347 Robert R. Manfredi Robert T. Manfredi, IRA Carol A. Manfredi Names nf flip 7? PspnnHCTits Hearing Site- Baltimore, MD Merrill Lynch, Pierce, Fenner & Smith, Inc. Robert W. Costos Leo J. Kelly, ffl Nature of the Dispute: Customers vs. Member and Associated Persons. RF.PRFSFNTATION OF PARTIF.S Claimants, Robert R. Manfre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: riflimant fflgRNimihfy 04-08343 Henry T.Grubbs, Jr. ; nf thft ftpcprmrtentg Hearing Site* Pittsburgh, Pennsylvania Morgan Stanley DW, Inc. Michael Joseph Condron Nature of the Dispute: Customer vs. Member and Associated Person. RFPPFSFNTATTON OF PARTIES Claimant, Henry T. Grubbs, Jr., hereinafter referred to as "Claimant* 1 , was represented by Michael J. Betts,