NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07765 Saralyn Ingram IRA, Claimant v. American Express Financial Advisors, Inc. and Nationwide Investment Services Corp., Respondents ATTORNEYS: Claimant Saralyn Ingram IRA ("Claimant") appeared pro se, Augusta, GA. For Respondent American Express Financial Advisors, Inc. appeared Karen E. Wilson, Esq., in- house counsel, American Express Financial Advisors, Inc., Minneapolis, MN. For Re

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William Metzger and 04-07758 Kansas City, Missouri Name of Respondent Merrill Lynch Pierce Fenner & Smith Incorporated Nature of the Dispute: Customer vs. Member, REPRESENTATION OF PARTIES William Metzger ("Claimant") was represented by Diane A. Nygaard, Esq., The NygaardLaw Firm, Leawood, Kansas. Merrill Lynch Pierce Fenner & Smith Incorporated (

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07753 Ryan Beck & Co. (Claimant) v. Gus Lambropoulos (Respondent) ATTORNEYS: For Claimant Ryan Beck & Co. ("Claimant") appeared Jeffrey B. Cohen, Esq., in-house counsel, Ryan Beck & Co., Livingston, NJ. Respondent Gus Lambropoulos ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member vs. Customer. DATE FILED: November 5, 2004. CASE SUMMARY: Claim

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07752 RipanNagpal and Meenakshi Nagpal JTWROS, (Claimants) vs. Clark Street Capital, Inc., Adam Chamroeurn Heng, Jeffrey Robert Chicola, and Marco Aifonsi, (Respondents) ATTORNEYS: Claimants appeared pro se, Cupertino, CA For Respondents Clark Street Capital, Inc. and Marco Aifonsi appeared M. David Sayid of the firm Sayid and Associates LLP, New York, NY. Respondent Adam Chamroeurn Heng

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00365 Josephine M. Evans, IRA, claimant vs. Charles E. Dean, Jr., and Dean Securities , respondents. ATTORNEYS: Claimant appeared Pro Se, Olympia, WA. Respondent Charles E. Dean appeared Pro Se, Olympia, WA. For Respondent Dean Securities, appeared Jay Randall Dean, Olympia, WA. DATE FILED: January 23, 2001 CASE SUMMARY: Claimant alleged that respondent engaged in unauthorized tradi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nftfip riaimanfrc , • Page Minuter 04-07750 Annette Gabrielle Villari Annette Gabrielle Villari, daughter Names of thp R ftfiprwiftents Hftaring Site* Philadelphia, PA Morgan Stanley DW, Inc. Anthony E. Filippello Nature of the Dispute: Customers vs. Member and Associated Person. RF.PPFSFNTATTON OF PARTIES Claimants, Annette Gabrielle Villari and Annette Gabrielle

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riai'mant Pase Number 04-07739 The Smith Barney Division of Citigroup Global Markets f/k/a Salomon Smith Barney, Inc. Name nf tbp Rf^spnndent Hearing Site: Philadelphia, PA Vincent T. Lowry Nature of the Dispute: Member vs. Associated Person. RRPRESF.NTATTON OF PARTIES Claimant, The Smith Barney Division of Citigroup Global Markets f/k/a Salomon Smith Barney,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William K. Dean (Claimant) v. Richard W. O'Donnell, Barbara K. Ross, and Mellon Investor Services, LLC (Respondents) Case Number: 04-07738 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant William K. Dean ("Dean") hereinafter referred to as "Claimant" appeared pro se. Respondents Richar

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Jocie (Salim) Moody, Claimant v. Salomon Smith Barney Inc. a/k/a Citigroup Global Markets, Inc. and Zadoc Brown, Jr., Respondents Case Number: 04-07725 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Robert Scott Dreher, Esq. Dreher Law Firm San Diego, California For Respondents

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07723 John Paukovits (Claimant) v. Joseph Engleby, Lisa M. Porter, and John Ellis (Respondents) ATTORNEYS: Claimant John Paukovits ("Claimant") appeared pro se, Northampton, PA. For Respondents Joseph Engleby, Lisa M. Porter, and John Ellis (collectively "Respondents") appeared Kimberly G. Anderson, Esq., in-house counsel, Edward Jones, St. Louis, MO. NATURE OF DISPUTE: Customer vs. Associat