Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Barbara H. Hawley Case Number: 04-05620 Name of the Respondent Citigroup Global Markets, Inc. i7k/a Salomon Smith Barney, Inc. Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Barbara H. Hawley ("Hawley"), hereinafter referred to as "Claimant": Nicholas P, lavarone, Esq.; Simmons Coop

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward M. Morris, DI and Nila Morris, Case Number: 04-05616 Claimants, Hearing Site: St. Louis, Missouri v. Citadel Investment Services, Inc., CFPS, Inc., Harold L. Vannier, Jr. and Michael A. Courte, Respondents. NATURE OF THE DISPUTE Customers vs. Member, Associated Persons and Non-Member REPRESENTATION OF PARTIES Edward M. Morris, in and Nila Morris

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thp. riaimant Case Number! 04-05614 James A. Resnick Name nf the Respondent Hearing Site; Pittsburgh, PA Ferris, Baker Watts, Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF FARTHER Claimant, James A. Resnick, hereinafter referred to as "Claimant", was represented by Lawrence P. Lutz, Esq., Lutz, Pawk & McKay, Butler, Pennsylvania. Resp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David A. Windhauser (Claimant) v. Excel Securities & Associates, Inc. and Deutsche Bank Securities, Inc., Terence P. Britt, and Joseph Lanzisera (Respondents) Case Number: 04-05606 Hearing Site: Buffalo, New York Nature of the Dispute: Customer v. Members REPRESENTATION OF PARTIES Claimant David A. Windhauser, hereinafter referred to as "Claimant": David H. Ealy, Esq., Shapiro,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Stanley L. Drassler and Case Number: 04-05591 Hearing Site: Chicago, Illinois Respondent Morgan Stanley Dean Witter, Inc. NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES Stanley L. Drassler ("Claimant") was represented by Liam O'Brien, Esq. of Liam O'Brian & Associates, located in New York, New York. Morgan Stanley Dean Witter, Inc. ("R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wedbush Morgan Securities Inc., Claimant v. Robert E. Tschan II, Respondent Case Number: 04-05590 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Gary Holmes, Esq. Wedbush Morgan Securities Inc. Los Angeles, California For Respondent: Robert E. Tschan, n ProSe Henderson, Nevada CASE IN

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Raymond James & Associates, Inc. Case No. 01-00244 Name of Respondent Steven A. Koch Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Raymond James & Associates, Inc. ("Raymond James"), hereinafter referred to as "Claimant": Shepherd D. Tate, Esq. and Rebecca C. Davis, Esq. of Tate, Lazarini & Beall, P-LC, Memphis, Tennessee. For S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: riaimant £&sfi_Numhfit: 04-05580 Sean Michael Flavin Names nf the ttraprmdpnts Hearing Site: Pittsburgh, Pennsylvani Legg Mason Wood Walker, Incorporated Steven Fischetti - Nature of the Dispute: Associated Person vs. Member and Associated Person. RFPKFSFNTATTOTSI OF PABTTFS Claimant, Sean Michael Flavin, hereinafter referred to as "Claimant", was represented by Jay B. K

Award NASD Dispute Resolution In the Matter of the Arbitration Between: of the Claimants Christopher W. Clavin Donald S. Schultz Carl A. Schultz William M. Schultz Namp; nf the Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Case Number- 04-05579 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTTFS Claimants, Christopher W. Clavin (

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05577 Ryan Beck & Co., Inc., (Claimant) vs. Thomas W. Fox, (Respondent) ATTORNEYS: ~~ For Claimant appeared in-house counsel Joanne M. Spataro, Esq., Livingston, NJ. For Respondent appeared Gregory G. Paul, Esq., of the firm Peirce, Raimond & Coulter, P.C., Pittsburg, PA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 5, 2004 CASE SUMMARY: Claimant alleged that Res