Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-05247 Albert Bateh, individually and as Trustee Janan Batch, individually and as Trustee Names of the Respondents Hearing Site: Orlando, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Albert Bate

In the Matter of the Arbitration Between: Names of Claimants Todd V. Montgomery, Jr. and Debra A. Stefl and Name of Respondent Robert W. Baird & Co., Incorporated Case Number: 04-05232 Hearing Location: Milwaukee, Wisconsin NATURE OF DISPUTE Associated Persons v. Member Firm REPRESENTATION OF PARTIES Todd V. Montgomery, Jr. and Debra A. Stefl ("Claimants") were represented by John F. Hovel, Esq. and Michael Fischer, Esq., Kravit, Hovel,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants McAllister Abbott and Ingrid Abbott Name of the Respondent Harrison Securities, Inc. Case Number: 04-05226 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For McAllister Abbott and Ingrid Abbott, hereinafter collectively referred to as "Claimants": Jeffrey Erez, Esq. and Jeffrey Sonn, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant(s) Case Number: 01-00211 Jeffery E. Forrest Name of the Respondents) Hearing Site: Los Angeles, California Prudential Securities, Inc. Albert Adam REPRESENTATION OF PARTIES Claimant Jeffery E. Forrest, Ojai, California Prudential Securities, Inc. William M. Cassarini, Esq., Prudential Securities, Inc., New York, New York Albert Adam William M

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Barrel and Elaine Mielke v. 04-05194 Minneapolis, Minnesota Respondent UBS Paine Webber, Inc. Nature of Dispute: Customers v. Member REPRESENTATION OF PARTIES Barrel and Elaine Mielke ("Claimants") were represented by Harney H. Eckart, Esq., and Amy M. Leonetti, Esq., of Eckart & Leonetti, P.A, St. Paul, Minnesota. UBS Paine Webber, Inc. ("Respondent") w

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Victor E. Anderson, Claimant v. Robert S. DeWitt and Mutual Securities, Inc., Respondents Case Number: 04-05180 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Bernard W. McNallen, Esq. Balsam McNallen, LLP Tacoma, Washington For Respondent Robert S. DeWitt: David W. Silke, Esq. Car

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant/Counter-Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Name of the Respondents/Counter-Claimant Raymond, James & Associates, Inc. and Jay C. Gagne Case Number: 04-05170 Hearing Site: Indianapolis, Indiana Nature of the Dispute: Member vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Merrill Lynch Pierc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05168 John Park Names of the Respondents Hearing Site: Orlando, Florida E*Trade Securities, LLC Kristin C. Lannum Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES John Park, hereinafter referred to as "Claimant", appeared pro se. For E*Trade Securities, LLC ("E*Trade") and Kristin C. Lannum (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kimberly Cavanaugh (Claimant) v. Moors & Cabot, Inc. and Charles White (Respondents) Case Number: 04-05167 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Kimberly Cavanaugh ("Cavanaugh") hereinafter to as "Claimant": James S. Jones, Esq., Poland, Ohio. Respondents, Moors & Cabot, Inc. ("Moors & Ca

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thf* Claimant fla.se Number 04-05166 Erma Bianco Names nf the Respondents Hearing Site* Philadelphia, PA Morgan Stanley DW, Inc. Ty Matthew Wilkinson Nature of the Dispute: Customer vs. Member and Associated Person. RFPRF.SF.NTATTON OF PARTTF.S Claimant, Erma Bianco, hereinafter referred to as "Claimant", was represented by Christopher A. Ferro, Esq., Griest, Him