Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carol A. Davey and Carol A. Davey IRA (Claimants) v. Citigroup Global Markets, Inc. file/a Salomon Smith Barney, Inc. and Anthony Parisi (Respondents) Case Number: 03-01836 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Carol A. Davey ("Davey") and Carol A. Davey IRA ("Davey IRA") hereina

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01835 William D. Alexander Succ. TTEE FBO Marian I. Schmidt Trust U/A/D 11/17/89, Claimant vs. UBS PaineWebber, Inc., and Jan Louis Long, Respondents. ATTORNEYS: For Claimant, William D. Alexander Succ. TTEE FBO Marian I. Schmidt Trust U/A/D 11/17/89, ("Claimant"), appeared Jane L, Stafford of the firm Spencer Fane Britt & Browne, LLP, Missouri City, MO. Respondents, UBS PaineWebber, Inc

REC52VED MAY : . 3 7,m NASD Arbitration OA- i j. j A J Stipulated Award NASD Dispute Resolution, Inc. RECEIVED In the Matter of the Arbitration Between: Silvia Cohen, Claimant v. Salomon Smith Barney Inc. and Edward K. Levi, Respondents Case Number: 00-03545 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Paul W. Thomas, Esq. Paul W. Thomas & Associates Carlsbad, California For Respondent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01834 Renee Feldman, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Renee Feldman, ("Claimant"), appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor P.A., Pensacola, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. and

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Penelope Jill True, Claimant v. UBS Financial Services Inc. f7k/a UBS Paine Webber, Inc. and Donald M. Fuhrer, Respondents Case Number: 03-01829 Hearing Site: Los Angeles, California Nature of Dispute: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES For Claimant: Nancy K. Undem, Esq. Law Offices of Nancy Undem Montecieto, California For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mohammed Belafkih, Claimant v, Raike Financial Group, Inc. and William Raike, Respondents Raike Financial Group, Inc. and William Raike, Counter-Claimants v. Mohammed Belafkih, Counter-Respondent Case Number: 03-01827 Hearing Site: Los Angeles, California Nature of the Disputes: Associated Person v. Member and Associated Person Member and Associated Person v. Associated Person

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Marion G. Fouchey and Names of Respondents Indianapolis Securities, Inc. and David J, Oliver Case Number: 03-01823 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Terminated Member and Associated Person REPRESENTATION OF PARTIES Marion G. Fouchey ("Claimant") was represented by Anthony V. Trogan, Esq., and Lysa Postula-Ste

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Stanley J. Ferguson, Claimant vs. Edward D. Jones & Co., Respondent. Case Number: 99-02215 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES Claimant, Stanley J. Ferguson, hereinafter referred to as "Claimant": Robert S. Banks, Jr., Esq., Banks & Underbill, P.C., Portland, Oregon Respondent, Edward D. Jones & Co. ("Edward Jones")* hereinafter referred to as "Respondent": Sc

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Lester McCormick Case No. 99-02212 Names of Respondents James Donovan Joseph Dillon & Company, Inc. REPRESENTATION OF PARTIES Lester McCormick, hereinafter referred to as "Claimant" appeared BTO. se. For Joseph Dilloa & Company, Inc,, hereinafter referred to as "J. Dillon": David B. Gorfinkel, Esq. of Sichenzia, Ross & Friedman, LIP, New York, N

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Gerald A. Bushue, (Claimant) vs. A.G. Edwards & Sons, Inc. and Erin L. Wideman, (Respondents). Case Number: 99-02211 Hearing Site: St. Louis, Missouri REPRESENTATION OF PARTIES Claimant, Gerald A. Bushue, hereinafter referred to as "Claimant": Pro Se, Washington, Missouri. Respondents, A.G. Edwards & Sons, Inc. ("A.G. Edwards") and Erin L. Wideman ("Wideman"), hereinafter coll