AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joseph and Carolyn Murray and 03-00789 Phoenix, Arizona Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Paul J. Abrams Howard Guggenheim William F. Dodge, H Lisa Kaye Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Joseph and Carolyn Murray ("Claimant") was rep

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jeanette H. McCartney & JHM Trust and 03-00788 Phoenix, Arizona Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Paul J. Abrams William F. Dodge, E Lisa Kaye Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Jeanette H. McCartney & JHM Trust ("Claimant") was represent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04382 C. E. Everett and William A. Everett, Claimants vs. J.W. Genesis Financial Services, Inc., Respondent. ATTORNEYS: Claimants, C.E. Everett and William A. Everett, ("Claimants"), appeared Pro Se, Port Isabel, TX. Respondent, J.W. Genesis Financial Services, Inc., ("Respondent"), appeared through its in- house counsel Gregory S. Tendrich, Esq., Boca Raton, FL. DATE FILED: Oc

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Robert E. Britt Case No. 00-00442 Names of Respondents Secwest Securities, Inc. Max International Broker/Dealer Corp. Names of Third-Party Respondents Nigel A. Gilbert Edwin Joseph Forte III David Scott Isolano Joan Karen Isolano REPRESENTATION OF PARTIES For Robert E. Britt ("Britt") hereinafter referred to as "Claimant": William M.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the John and Donna O'Leary Name nf the Respondents Scott & Stringfellow, Inc. William F. Calliott Samuel L. Collins Furman G. Wall, Jr. Case Number 03-00787 Hearing Site: Richmond, Virginia Nature of the Dispute: Customers vs. Member and Associated Persons. i RFPRFSKMTATTON OF P ARTTP.S Claimants, John and Donna O'Leary, hereinafter collectively r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nam.* nf the Claimant Pase Number! 03-00784 Michael A. Brim Name of the Respondents Hearing Site- Richmond, Virginia Merrill Lynch, Pierce, Fenner, & Smith, Inc. David E. Jennings Martin W. RJOSS Nature of the Dispute: Customer vs. Member and Associated Persons. RFPKFSFNTATTON OF PAttTTKS Claimant, Michael A. Brim, hereinafter referred to as "Claimant", was represented b

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Leslie Franyo and Diane Franyo, Claimants v. PaineWebber Incorporated n/k/a UBS Financial Services Inc., Financial West Group, and Robert V. Sessa, Respondents Case Number: 03-00781 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES For Claimants: For Respondent PaineWebber Incorporated

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Dorothy A. Haber Trust and 03-00779 Phoenix, Arizona Name of Respondents A.G. Edwards & Sons, Inc. Michael N. Solomon Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Claimant Dorothy Haber: Roger J. Buffington, Buffington & Bowling, LLP, 2151 Michelson Drive, Suite 232, Irvine, CA 92612

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joseph Najjar and 03-00776 Phoenix, Arizona Name of Respondents Morgan Stanley DW Inc. John P. Maskubi Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Joseph Najjar ("Claimant") was represented by Geoffrey Trachtenberg, Esq., Levenbaum & Cohen, Phoenix, Arizona. Morgan Stanley DW Inc. ("Respondent MSD

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00775 Nancy Reichle as Trustee of the DD Trust u/a/d February 23,1993 (the "Trust") on behalf of the Trust and its beneficiaries Name of the Respondent Hearing Site: Tampa, Florida Morgan Stanley DW, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Nancy Reichle as Trustee of the DD Trust u/a/d February 2