Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Yasinski (Claimant) v. Citigroup Global Markets, Inc. (Respondent) Case Number: 04-07467 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Joseph Yasinski hereinafter referred to as "Claimant": Neil A. Sussman, Esq., Sussman & Frankle, LLP, New York, NY. Respondent Citigroup Global Markets, Inc. hereina

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John T. Yannielli and Sandra B. Yannielli (Claimants) vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, and David L. Ivanovich, Jr. (Respondents) Case Number: 04 -07466 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants John T. Yannielli ("J. Yannielli") and Sandra B. Yannielli ("S. Ya

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07462 Kevin Sosa Names of the Respondents Hearing Site: Boca Raton, Florida UBS PaineWebber, Inc. Eugene B. Land Richard S. Marcatos Richard Reinhardt Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Kevin Sosa, hereinafter referred to as "Claimant": John R. Kiefher, Jr., E

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Hazel J. Chase and Hazel J. Chase 1992 Trust, Claimants v. Wells Fargo Investments, LLC, Wells Fargo Bank N.A., and Ray L. Seewer, Respondents i Case Number: 04-07458 Hearing Site: Reno, Nevada Nature of the Dispute: Customers v. Member, Non-MemberJ and Associated Person REPRESENTATION OF PARTIES — '" i i t i For Claimants: Nancy M. Battel, Esq. Law Of

Stipulated Award NASD In the Matter of the Arbitration Between: Pamela A. Parzynski, TTEE, Pamela A. Parzynski, Rev Liv TST, U/A DTD 05-08-1997, and Pamela A. Parzynski, as Custodian for Marc R. Parzynski, Claimant v. American Investment Services, Inc., Jin "Lisa" Pan, and A. Philip Chang, Respondents Case Number: 01-00329 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Pamela A. Parzynski, TTEE, Pamela A. Parzynski, Rev Liv TST, U/A DTD

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gladys Darlene Obermiller, Claimant v. Bane One Securities Corporation, Leeann Patterson, and Deborah Spry, Respondents Case Number: 04-07447 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Nicolas J. Cornelius, Esq. Kendhammer & Colburn, L.L.P. Phoenix, Arizona For Respondents: Eliza

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wendy Niemann and ' ' Case Number:, 04-07446 Hearing Site: Milwaukee, Wisconsin Name of Respondent John W. Busey, II • , NATURE OF DISPUTE Customer v. Associate Person REPRESENTATION OF PARTIES Wendy Niemann ("Claimant") was represented by Sean Lanphier, Esq., Mallery & Zimmerman, SC, Milwaukee, Wisconsin.   ; ,'.'• ; ; , ''• ,

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Bane of America Investment Services, Inc., Claimant v. Thomas D. Bade, Respondent Case Number: 04-07444 Hearing Site: Phoenix, Arizona Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Ronald P. Kane, Esq. Kane & Fischer, Ltd. Chicago, Illinois For Respondent: Thomas D. Bade In Pro Per Peoria, Arizona CASE INFORMATION

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co. Inc. f/k/a Fahnestock & Co. Inc. (Claimant) vs. Clifford J. Pinner (Respondent) Case Number:04-07442 Hearing Site: New York, New York. Nature of the Dispute: Member vs. Associated Person. . . REPRESENTATION OF PARTIES Claimant Oppenheimer & Co. Inc. hereinafter referred to as "Claimant": Yosef Sinensky, Esq., Eric J. Shames, Esq., and Evelyn Bukchin, Esq., Oppe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Cllai'mant ' ' Case Nnmher 04-07440 Morgan Stanley DW, Inc. NamfiJ)f the Respondent Rearing Site: Pittsburgh, PA RayL.Dinkel Nature of the Dispute: Member vs. Associated Person. RFPRFSF,NTATTON OF PARTIES Claimant, Morgan Stanley DW, Inc., hereinafter referred to as "Claimant", was represented by Ronald P. Kane, Esq., Kane & Fischer Ltd., Chicago, Illinois. R