Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Lane, Claimant v. Morgan Stanley DW Inc. and Leslie P. Jenkins, Respondents Case Number: 03-00171 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: William W. Bloch, Esq. Excelus Law Group, Inc. Beverly Hills, California For Respondents: Kevin K. Fitzgerald, Esq. Catherine L

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kermit C. Rudolph, Thomas F. Rudolph, and Stephen M. Rudolph (Claimants) v. A.G. Edwards & Sons, Inc. and Gary L. Sliemers (Respondents) Case Number: 03-00165 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Kermit C. Rudolph ("K. Rudolph"), Thomas F. Rudolph ("T. Rudolph"), and Stephen

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Dr. Robert J. Blair, Jill E. Blair, and Dr. Robert J. Blair, Inc. Profit Sharing Plan and Names of Respondents UBS PaineWebber, Inc., and William J. Hanrahan Case Number: 03-00162 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Dr. Robert J. Blair, Jill E. Blai

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Marvin L. Jablonski and Case Number: 03-00157 Hearing Site: Omaha, Nebraska Name of Respondents Salomon Smith Barney, Inc. (n/k/a Citigroup Global Markets Inc.), Rose M. Sipe, John Thomas Spaustat, Eric J. Butler and Joseph Bradley Kucera REPRESENTATION OF PARTIES Claimant Marvin L. Jablonski, hereinafter referred to as "Claimant:" Rep

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, Inc., Case Number: 03-00155 Claimant, vs. Youssef Koutani, Hearing Site: Houston, Texas Respondent. Nature of Case: Member vs. Associated Person PAPTIF.S Claimant Wachovia Securities, Inc., hereinafter referred to as "Claimant," was represented by Douglas D. Callaway, Esq. of Wachovia Securities, Inc. located in Richmond, Virginia. Respondent You

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00154 Wachovia Securities, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Robert J. Doran, Jr. Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, Inc., hereinafter referred to as "Claimant": Douglas D. Callaway, Vice President and Assistant General Counsel, Wachovia Secur

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rulon Crosby, Claimant v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., Gregg W. Whelan, and Jack Grubman, Respondents Case Number: 03-00153 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Alexander Novak, Esq. Kim Steven Juhase, Esq. Novak, Juhase & Ster

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marvin Brockman and Evelyn Brockman (Claimants) v. JB Hanauer & Co. and Allen H. Wilson (Respondents) Case Number: 03-00146 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Marvin Brockman and Evelyn Brockman JT Ten ("Brockrnans"), Marvin Brockman IRA ("M. Brockman IRA"), Evelyn Brockman IRA (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Moshe Heber (Claimant) v. HSBC Brokerage USA and Raymond Esposito (Respondents) Case Number: 03-00145 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Moshe Heber ("Heber") hereinafter referred to as "Claimant": Jeffrey Neiman, Esq., The Neiman Law Firm, Brooklyn, NY. Respondents HS

01/23/2004 11:19 FAX NASD REGULATION El002 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward Franco (Claimant) vs. Morgan Stanley Dean Witter f/k/a Dean Witter Reynolds Inc. and William Flowers (Respondents) Case Number: 03-00144 Hearing Site: New York, New York Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Edward Franco ("Franco") hereinafter referred to as "Claimant"