Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimant Jay Gadberry Name of the Respondents Morgan Stanley Dean Witter, Inc. Dean Witter Reynolds, Inc. Case Number: 04-07566 Hearing Site: Little Rock, Arkansas Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Jay Gadberry, hereinafter referred to as "Claimant": Michael R. Johns, Esq., Dover, Dixon, Home, PLLC, Li

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf thp riaimantQ Pasp Number- 04-07564 Franklin D. and Bonnie C. Johnson JTWROS Name nf ttif T?p!Rpr>nHent Hearing Site- Memphis, Tennessee Sterne, Agee & Leach, Inc. Nature of the Dispute: Customers vs. Member. RFPRF.SF.NTATION OF PARTTF.S Claimants, Franklin D. and Bonnie C. Johnson JTWROS, hereinafter collectively referred to as "Claimants", represented themselves i

Award N.ASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph E. Camardese, Jr., (Claimant) vs. The Boston Group and Robert A. Diminico, (Respondents) Nimiher- 01-00341 Hearing Site- Washington, D.C. OF PAPTTVS Claimant, Joseph E. Camardese, Jr., hereinafter referred to as "Claimant", represented himself Respondents, The Boston Group ("TBG") and Robert A. Diminico ("Diminico"), hereinafter collectively referred to as "Respond

* - . • . • • Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant CasgLNiimber! 04-07558 Helen M. Christodoulos nf the Respondent^ TTpjin'Tig Site- Pittaburg, Pennsylvania UBS Financial Services tic. Stephen Bickley Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PAKTTRS Claimant Helen M. Christodoulos, hereinafter referred to as "Claimant", was represented by Scott

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William D. Arndt and Lori L. Arndt, Claimants v. Citigroup Global Markets, Inc. i7k/a Salomon Smith Barney, Inc., Respondent Case Number: 04-07556 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: A. Daniel Woska, Esq. Woska & Hayes, LLP Oklahoma City, Oklahoma For Respondent: Joseph L. Calabrese, Esq.

NASD DISPUTE RESOLUTION STIPULATED AWARD NASD DISPUTE RESOLUTION CASE: 04-07547 Merrill Lynch, Pierce, Fenner & Smith, Inc., Robert Milligan, and Gregory Pease, Claimants v. David Beauchamp and Nancy Beauchamp, Respondents ATTORNEYS: " " " ~~ For Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc., appeared Frank Cuccio, Esq,, of the firm Bressler, Amery & Ross, P.C., New York, NY. For Claimants Robert Milligan and Gregory Pease appeared Daniel C. Zinm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-07541 Lee R. King Marleen King Names of the Respondents Hearing Site: New Orleans, Louisiana A.G. Edwards & Sons, Inc. Glenn Bradford Seymour Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lee R. King ("L. King") and Marleen King ("M. King"), hereinafter collectively referred to a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jonathan Jay Greenfield, Claimant v. Sentra Securities Corporation, Respondent Case Number: 04-07537 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member For Claimant: Jonathan Jay Greenfield In Propria Persona Los Angeles, California For Respondent: John K. Fahey, Esq. Sentra Securities Corporation Phoenix, Arizona CASE INFORMATIO

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ft nf th< * rigimnni Case Number 04-07524 Ed Marks Names nfthft R respondents Hearing Site' Baltimore, MD Eugene A. Profit E.S. Marks & Company, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. KFPKFSFNTATTON OF PARTTRS Claimant, Ed Marks, hereinafter referred to as "Claimant", was represented by Robert N. Kilberg, Esq., Robert N. Kilberg, P.A., Tows

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07520 Raymond James Financial Services, Inc., Claimant v. Larry Daniels, Respondent ATTORNEYS: For Claimant Raymond James Financial Services, Inc. ("Claimant") appeared Leslie A. Reese, Esq., in-house counsel, Raymond James Financial Services, Inc., St. Petersburg, FL. Respondent Larry Daniels ("Respondent") appeared pro se, Dayton, TN. NATURE OF DISPUTE: Member v. Associated Person. DAT