Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thf* rtoimanf C!flse Nnrnher- 04-04744 Henry Saiontz, IRA Names nf thp Respondents Hf-artng Site- Baltimore, MD UBS Financial Services, Inc. Isadore Friedman Nature of the Dispute: Customer vs. Member and Associated Person RFPRF.SFNTATTON OF PARTTF.S Claimant, Henry Saiontz, IRA ("Claimant"), was represented by Thomas C. Costello, Esq., West & Costello, LLC, Balt

Award NASD Dispute Resolution In the Matter of the Arbitration Between: - 04-04739 Joe W. Crutchfield Namp nf t^g 13 psprmHpfrf ffeflfjna Site* Dallas, Texas Edward D. Jones & Co. OF HF TUSPTTTF Public Customer v. Member Firm Claimant Joe W. Crutchfield, hereinafter referred to as "Claimant": Appeared pro se. Respondent Edward D. Jones & Co., hereinafter referred to as "Respondent": William R. Pace, Esq., of the firm of Pace & Rickey, L.L.P.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas M. Biancamano and Caroline Evelyn Biancamano (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 04-04736 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES Claimant Thomas M. Biancamano ("T. Biancamano") and Caroline Evelyn Biancamano ("C. Biancamano") hereinafter collectively referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Clarence M. Kobus (Claimant) v. Moors & Cabot, Inc., and Charles White (Respondents) Case Number: 04-04735 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Clarence M. Kobus hereinafter referred to as "Claimant": James S. Jones, Esq., James S. Jones, L.P.A., Poland, OH. Respondents Moors & Cabot, In

NASD DISPUTE RESOLUTION STIPULATED AWARD NASD DISPUTE RESOLUTION CASE: 04-04733 Thomas A. Devane, Claimant v. Jesup & Lament Securities Corp., Respondent ATTORNEYS^ For Claimant Thomas A. Devane ("Claimant") appeared Michael Kalnius, Esq., New York, NY. Respondent Jesup & Lament Securities Corp. ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Associated Person vs. Member. DATE FILED: June 30, 2004. CASE SUMMA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Nancy Korbett Names; of the Respondents Scott Eugene Shoup Financial Investment Analysts, Inc. Case Number- 04-04722 Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Terminated Member and Associated Person. REPRESENTATION OF PARTIES Claimant, hereinafter referred to as "Claimant", was represented by James F. Rosenburg, E

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-Q0198 Pel Pel Zheng and Richard Chow, Claimants vs. Charles Schwab, Respondent. ATTORNEYS: Claimants appeared Pro Se, Rockville, MD. For Respondent appeared Jane M. Weston, Esq., in-house counsel, San Francisco, CA. DATE FILED: January 16, 2001 CASE SUMMARY: Claimant alleged that while placing an order on respondent's online trading program that a higher buy price was recorded rathe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants James E. and Patricia B. Chapman and 04-04720 Louisville, Kentucky Names of Respondents Citigroup Global Markets, Inc. fk/a Salomon Smith Barney, Inc., and Paul D.Babaz NATURE OF THE DISPUTE Customers vs. Member Firm and Associated Person REPRESENTATION OF PARTIES James E. and Patricia B. Chapman ("Chapmans"), hereinafter referred to as ("Cl

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Fred I. Johnson and Case Number: 04-04704 Hearing Site: Louisville, Kentucky Names of Respondents Questar Capital Corp., and Thomas J. Gorter NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Fred I. Johnson ("Johnson" or "Claimant") was represented by Schuyler J. Olt, Esq., Pedley Zielke Gordinier& Pence, PL

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Raymond N. Mitchell, Jr. v. 04-04703 Denver, Colorado Nature of Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Raymond N. Mitchell, Jr. ("Claimant") was represented by Bruce J. Kaye, Esq., of Kaye & Bush, LLC, Denver, Colorado. Charles Schwab & Company, Inc. ("Respondent") was represented by Janet T. Epstein, Esq., of Charles Schwab & Company,