Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant •' Case Number: 04-04701 Shirley A. Lundquist Name of the Respondents " . • Hearing Site: Chicago. Illinois MONY Securities Corporation, Executive Financial Group a/k/a A.K.J. LTD., and Thomas P. Olexa Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Shirley A. Lundquist, hereinafter refer

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Carolyn B. Levin and Respondents UBS Financial Services, Inc. f/k/a UBS PaineWebber, inc., and William S. Gray Case Number: 04-04698 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Carolyn B. Levin ("Claimant") was represented by Anthony V. Trogan, Esq., and Lysa Postula-S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04694 Neal Schleifer Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. (jrubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Neal Schleifer, hereinafter referred to as "Claimant": Douglas H. Glicken, Esq., Dougla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Nicholas J. Moraitis Namq_ofthe Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Case. Number 04-04690 Hearing Site.- Pittsburg, Pennsylvania Nature of the Dispute: Customer vs. Member. KRPRRSKNTATTON OF PAKTTRS Claimant, Nicholas J. Moraitis, hereinafter referred to as "Claimant", was represented by Stephen H. Lebovitz, Esq., Lebovitz & Lebo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04666 Ceciia K. Ross IRA Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc., f7k/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ceciia K. Ross IRA, hereinafter referred to as "Claimant": Douglas H. Glicken,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04663 Ronald A. Vemer IRA Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB, Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ronald A. Vemer IRA, hereinafter referred to as "Claimant": Douglas H. Glicken, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-04662 James E. Miller Robin L. Miller Names of the Respondents Hearing Site: New Orleans, Louisiana Larry G. Boggs Investacorp, Inc. Anthony Nettuno Nettuno & Associates, Inc. Nettworth Nettworth Financial Group Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04661 Martin Millender Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Martin Millender, hereinafter referred to as "Claimant'*: Douglas H. Glicken, Esq.,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04653 A.G. Edwards & Sons, Inc., Claimant v. Thomas James Incorvia, Sr., Respondent ATTORNEYS: For Claimant A.G. Edwards & Sons, Inc. ("Claimant") appeared Michael Naccarato, Esq., in- house counsel, A-G, Edwards & Sons, Inc., St. Louis, MO. Respondent Thomas James Incorvia, Sr. ("Respondent") appeared pro se t Houston, TX. NATURE OF DISPUTE: Member v. Associated Person. DATE FIL

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04651 Angel-Lynn Jolivette, and Angel-Lynn Jolivette, as Custodian for James Douglas Wise Cody Allen Wise, and Jesse Alexander Wise, Claimants v. Morgan Stanley DW, Inc. and Rodney Halverson, Respondents ATTORNEYS: Claimants Angel-Lynn Jolivette, and Angel-Lynn Jolivette, as Custodian for James Douglas Wise Cody Allen Wise, and Jesse Alexander Wise (collectively "Claimants") appeared pro se