AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Carol Len Clark and Names of Respondents UBS Financial Services, Inc., and UBS Warburg, LLC n/k/a UBS Securities, LLC ' Case Number:, 04-04380 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firms REPRESENTATION OF PARTIES Carol Len Clark ("Claimant") Was represented by Oawn'R. Meade, Esq: .and David Augustus, Esq., Spenc

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Robert Wilmot Maxine Wilmot Names of the Respondents Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. PFS Investments, Inc. Jamesl Michael Lockhart Case Number. 04-04364 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Rpber

*' Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant K. Jeffrey Dean Case Number: 04-04363 Name of the Respondent Hearing Site: Chicago, Illinois Merrill Lynch, Pierce, Fenner & Smith, Inc. and Gerard Smith Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, K. Jeffrey Dean, ("Dean") or, ("Claimant"), was represented by Thomas Burke, Esq., of

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Names of the Claimants Alan Sara Carol Sara Names of the Respondents UBS Financial Services, Inc. Steven Warch Case Number: 04-04353 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Alan Sara ("A. Sara") and Carol Sara ("C. Sara"), hereinafter collectively referred to as

AWARD NASD Dispute Resolution in the Matter of the Arbitration Between Claimant Carole A. Dagg and Case Number: 04-04352 Hearing Site: Troy, Michigan Respondents RBC Dain Rauscher Inc., Gregory J. Schwartz & Company, Inc., and Timothy Allen Newman NATURE OF DISPUTE Customer v. Members and Associated Person REPRESENTATION OF PARTIES Carole A. Dagg ("Claimant") was represented by David A. Monroe, Esq., Law Offices of David A. M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward T. McElwreath (Claimant) v. Refco Securities, LLC and Refco Group, Ltd. (Respondents) Case Number: 04-04351 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Member REPRESENTATION OF PARTIES Claimant Edward T. McElwreath hereinafter referred to as "Claimant": Sean F. O'Shea, Esq., Law Offices of Sean F. O'Shea, New York, NY.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-04346 A.M. and Nancy G. Tortorich Name of the Respondent Hearing Site: New Orleans, Louisiana Morgan Stanley Dean Witter Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For A.M. and Nancy G. Tortorich, hereinafter referred to as "Claimants": George W. Healy, IV, Esq., George W. Healy, IV & Associates, Gulfport, Mis

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Robert Greenhill IRA Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB. Grubman Case Number: 04-04345 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert Greenhill IRA ("Greenhill"), hereinafter referred to as "Cl

CASE: 01-00172 Michael J. Parent!, Jr., claimant vs. Alan Korn and Sherwood Capital, respondents. ATTORNEYS: For Claimant appeared Randy Scott Zelin, Esq., Westbury, NY. Respondent Alan Korn appeared pro se, Harrisburg, PA. Respondents Sherwood Capital did not appear in the matter. DATE FILED: January 12, 2001 CASE SUMMARY: Claimant alleged that respondents placed defamatory, misleading inaccurate, and erroneous information on his CRD record. , , .

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ryan Beck & Co., Inc. (Claimant) v. Christos Sawa (Respondent) Case Number: 04-04344 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Ryan Beck & Co., Inc. ("Ryan Beck") hereinafter referred to as "Claimant": Jennifer Woods Burke, Esq., Lubiner & Schmidt, Cranford, NJ. Respondent Christos Sawa ("Sawa") herei