Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03493 Thomas E. Schnabel Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Barry Mordis Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Thomas E. Schnabel, hereinafter referred to as "Claimant": Scott L. Silver, Esq., Blum & Sil

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03477 Mary B. Adams, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: For Claimant, Mary B. Adams, ("Claimant"), appeared Eddie Easa Farah, Esq., of the firm Farah, Farah, & Abbott, P.A., Jacksonville, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("Responde

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00095 Chauncey CS Chen, Claimant vs. Charles Schwab, Respondent. ATTORNEYS: Claimant Chauncey CS Chen ("Claimant"), appeared Pro Se, Elmhurst, NY. Respondent Charles Schwab & Company, Inc. ("Respondent"), appeared through its in-house counsel, Richard A. Karoly, Esq., San Francisco, CA. DATE FILED: January 9, 2001. CASE SUMMARY: Claimant alleged that Respondent misplaced a check tha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03475 Mary and Max Angel JTTEN Dawson Industries, Inc. Names of the Respondents Hearing Site: Boca Raton, Florida Ohio Savings Securities, Inc. Justina Hook Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION QF PARTIES Mary and Max Angel JTTEN and Dawson Industries, Inc., hereinafter collectively referr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerry Hall (Claimant) v. UBS Financial Services, Inc. (Respondent) Case Number: 04-03474 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Jerry Hall hereinafter referred to as "Claimant": Michael C. Deutsch, Esq., Singer Deutsch, LLP, New York, NY. Respondent UBS Financial Services, Inc. hereinafter referred to as "Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wayne F. Sone and Linda J. Sone, Claimants v. Citicorp Investment Services, Respondent Case Number: 04-03469 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Celeste Chiaramonte, Esq. Woska & Hayes, LLP Kingwood, Texas For Respondent: John C. Steele, Esq. Zelle Hoffman Voelbel Mason & Gette, LLP L

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Brenda Exline v. 04-03461 Denver, Colorado Respondents ABD Financial Services, Inc., ABD Insurance and Financial Services, Inc., Rothman Marks, Inc., Rothman Marks Portfolio Management, L.L.C., Rothman Marks Charter Fund, L.P., and Dairyl Clark Marks Nature of Dispute: Customer v. Member, Non-Members and Associated Person REPRESENTATION OF PARTIES

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03453 Raymond James & Associates, Inc., Claimant v. Jeanne Hill, Respondent ATTORNEYS: For Claimant Raymond James & Associates, Inc. ("Claimant") appeared Leslie A. Reese, Esq., in-house counsel, Raymond James & Associates, Inc., St. Petersburg, FL. For Respondent Jeanne Hill ("Respondent") appeared Natly Torres-Alvarado, Esq., of the firm Knott, Consoer, Ebelini, Hart & Swett, P.A., Ft. Mye

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Laurena Poole Name of the Respondent PFS Investments, Inc. Number! 04-03447 Site- Charlotte, North Carolina Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Laurena Poole, hereinafter referred to as "Claimant", was represented by Celeste M. Chiaramonte, Esq., Woska & Hayes, LLP, Kingwood, Texas. Responde

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Dianna Azbill and 04-03438 Kansas City, Missouri Name of Respondents UMB Scout Brokerage Services, Inc. National Financial Services, LLC Fidelity Management Trust Co. Name of Third Party Respondent Lora Lee Dudley Individually and As Personal Representative of the Estate of Lloyd Lee Hatfield Nature of the Dispute:' Customer vs. Members and No