Award NASD Dispute Resolution In the Matter of the Arbitration Between: Leon Shelton (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. (Respondent) Case Number: 04-02709 Hearing Site: Covington, Kentucky Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Leon Shelton ("Shelton") hereinafter referred to as "Claimant": Duane E. Tobias, Esq., previously Debra Brewer Hayes, Esq., Woska & Hayes, L.L

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas P. Matula, individually and as trustee of the Matula Family Trust U/A DTD 11/11/1992, Claimants v. Edward D. Jones & Co., UBOC Investment Services Incorporated, Ruth Ann Nickell, a/k/a Ruth Ann Bates, a/k/a Ruth Ann Clark, and Daniel Thomas Tinney, Respondents Case Number: 04-02707 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Members an

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ladenburg Capital Management, Inc. (Claimant) v. Mauricio Valencia (Respondent) Case Number: 04-02706 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Ladenburg Capital Management, Inc. ("Ladenburg") hereinafter referred to as "Claimant": David Hirschberg, Esq., Wexler & Burkhart, P.C., Mitchel Field, NY. Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ehson Salaami, Claimant v. Datek Online Financial Services, LLC and Ameritrade, Inc., Respondents Datek Online Financial Services, LLC and Ameritrade, Inc., Counter-Claimants v. Ehson Salaami, Counter-Respondent Case Number: 04-02702 Hearing Site: San Diego, California Nature of the Disputes: Customer v. Members Members v. Customer REPRESENTATION OF PARTIES For Claimant/

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John A. Spalding, Claimant v. Morgan Stanley DW Inc., Respondent Case Number: 04-02699 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: David Bortman, Esq. Law Offices of David Bortman Beverly Hills, California For Respondent: Kevin K. Fitzgerald, Esq. Jones, Bell, Abbott, Fleming & Fitzgerald

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Doris Rudolph, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Case Number: 04-02697 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Jeff Musslewhite, Esq. Woska& Hayes, L.L.P. Kingwood, Texas For Respondent: Stephen Lau, Esq. Mennemeier, Glassman & Stroud Sacramento, Cali

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02693 Frank A. and Sally A. Ferraro and Frank Ferraro IRA, Claimants v. Ameritrade, Inc. rt/k/a J.P. Securities, Inc., Respondent ATTORNEYS: Claimants Frank A. and Sally A. Ferraro and Frank Ferraro IRA ("Claimants") appeared pro se, Niskayuna, NY. For Respondent Ameritrade, Inc. n/k/a J.P. Securities, Inc. ("Respondent") appeared James J. Vihstadt, in-house counsel Ameritrade, Inc., Oma

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02691 Dixie Lee Dinsdale (Claimant) v. Citigroup Global Markets, Inc. (Respondent) ATTORNEYS: For Claimant Dixie Lee Dinsdale ("Claimant") appeared Jan Graham, Esq., of the Jan Graham Law Offices, Salt Lake City, UT. For Respondent Citigroup Global Markets, Inc. ("Respondent") appeared Stephen L. Saxl, Esq., of the firm Greenberg Traurig, LLP, New York, NY. NATURE OF DISPUTE: Customer vs

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jessica Alejandra Gutierrez (Claimant) v. BNY Investment Center, Inc. and Gail E. Hollingsworth (Respondents) Case Number: 04-02686 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Jessica Alejandra Gutierrez ("Gutierrez") hereinafter referred to as "Claimant": Stephen H. Werner, Esq., Law Offic

r NASD DISPUTE RESOLUTION STIPULATED AWARD NASD DISPUTE RESOLUTION CASE: 04-02680 Mark Phillip Goetz, Claimant v. Edward Morawiec, Maria Morawiec, Joanna Moraweic, and Donna Morawiec Respondents. ATTORNEYS: For Claimant, Mark Phillip Goetz, ("Claimant"), appeared Timothy Feil, Esq., of the firm Finkelstein & Feil LLP, Garden City, New York. For Respondents, Edward Morawiec, Maria Moraweic, Joanna Moraweic and Donna Moraewic (collectively "Respon