Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dennis Schack, (Claimant) vs. Salomon Smith Barney Inc., (Respondent) Case Number: 00-05703 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Dennis Schack, hereinafter referred to as "Claimant": Alan J. Tauber, Esq., Slade & Associates, P.C., New York, NY. Respondent, Salomon Smith Barney Inc., hereinafter referred to as "Respondent": James H. McQuade,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants 04-01514 Chicago, Illinois Name of Respondent UBS Financial Services Inc. f/k/a UBS Paine Webber, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Sander Stagman ("Claimant") or ("Sander") and Frances Goldberg (deceased). Sander Stagman appeared pro se. UBS Financial Services Inc. f/k/a UBS PaineWebber, Inc. ("Respondent") w

STIPULATED AWARD NASD DISPUTE RESOLUTION SUSAN W. BAKER and MAAS, LTD Claimants, AND Respondents. NASD Case No. 04-01513 Hearing Site: Dallas, Texas NATURE OF THE DISPUTE Public Customers v. Member Firm and Associated Person Claimants SUSAN W. BAKER and MAAS, LTD: Robert Tobey, Esq., Johnston & Tobey, P.C., 710 Founders Square, 900 Jackson Street, Dallas, Texas 75202. Respondent AXA ADVISORS, LLC ("AXA"): Thomas R. Cox, Miller, Canfield,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norman Caris, Claimant v. A.G. Edwards & Sons, Inc., Respondent Case Number: 04-01510 Hearing Site: Honolulu, Hawaii Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Mark T. Kobata, Esq. Barlow, Kobata & Denis Los Angeles, California For Respondent: Nuviah Shirazi, Esq. A.G. Edwards &< Sons, Inc. St. Louis, Missouri CASE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Neal Riemer and Louise Krupa, Claimants v. Torrey Pines Securities, Inc. and William F- Gunderson, Respondents Case Number: 04-01509 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Grant G. Teeple, Esq. Gage Teeple, LLP San Diego, California For Respondents: Eileen L. McGeever,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants David and Matthew Parks and Respondents Merrill Lynch, Pierce, Fenner& Smith, Inc. -grit! Ronald-Mathew Shmyr -•- Case Number: 04-01505 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member and Associated Person REPRESENTATION OF PARTIES David and Matthew Parks ("Claimants") were represented by Anthony V. Trogan, Esq., and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the C:\a\msmtR Andrew J. Andrejewski and Gail E. Andrzejewski, individually and as owners of their IRA accounts pf the "Respondent Morgan Stanley DW> Inc. : 04-01503 Site! Charlotte, North Carolina Nature of the Dispute: Customers vs. Member. KKPRRSKNTATTON OF PAPTIBS Claimants, Andrew J. Andrejewski and Gail E. Andrzejewski, individually and as owners o

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION ___ l _ __ LJJjni — - 1 , m .- [ - [11M - M - 1 ,__i ;MmiL1 . -nnima i iiiiiMi.ii i _____ .* _ CASE: 04-01499 i John I Ryan, Claimant v. Merrill Lynch, Pierce, F«mner & Smith, hie., Respondent ATTORNEYS: For Claimant John J. Ryatt C'Claitnant* 4 ) appeared Wm. Jemiswi Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01498 Dr. Morton Schulman, Claimant v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant Dr. Morton Schulman ("Claimant") appeared Joel S. Finkelstein, Esq. of the firm Finkelstein & Partners, Newburgh, NY. For Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman ("Respondent

PAGE 02 NASD DISPUTE RESOLUTION AWARD NASP DISPUTE RESOLUTION CASE: 04-51497 Ethan Skoinick, Claimant vs. Monrill L-ynch, Pierce, Fenner & Smith, lnc, f ATTORNEYS: """ " For Claimant Ethan SkolnicV ("Claimant") appeared Jeffrey B. Kaplafl, Esq., of the; firm Dt Kaplan & Rothstein, PA. T Mami, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Ire, ("Respondent 1 ') appeai ed Julie L. ». E»q> < >f the firm Maynard, Cooper &