NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01899 UBS Financial Services, Inc., Claimant v. Reginald Burt, Respondent ATTORNEYS: For Claimant UBS Financial Services, Inc. ("Claimant") appeared Laura Martin, Esq., of the firm Davidson & Grannum, LLP, Northvale, NJ. Respondent Reginald Burt ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: March 19, 2004.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: John E. Anderson v. Joseph A. Lamothe, Jr., Lawrence I. Kravetz, Fiserv Correspondent Services, Inc. and Lumiere Securities, Inc. Case Number: 99-2332 Hearing Site: Omaha, Nebraska REPRESENTATION OF PARTIES Claimant, Party Name ("Anderson"), hereinafter referred to as "Claimant": David E. Vohs, Esq., Sioux City, Iowa. Respondent, Joseph A. Lamothe, Jr. ("Lamothe") a/k/a Jody Lamot

Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between: Purshe Kaplan Sterling Investments (Claimant) v. Oppenheimerfunds Distributor, Inc. (Respondent) Case Number: 04-00412 Hearing Site: Albany, New York Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES Claimant Purshe Kaplan Sterling Investments ("PKS") hereinafter referred to as "Claimant": David M. Purcell, Esq., Purshe Kaplan Sterling Investments, Alb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William S. Reyner (Claimant) v. Goldman, Sachs & Co. (Respondent) Case Number: 03-08771 Hearing Site: New York, NY Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant William S. Reyner ("Reyner") hereinafter referred to as "Claimant": John F. Duane, Esq., New York, NY. Respondent Goldman, Sachs & Co. ("Goldman") hereinafter referred to as "Res

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cole T. Coffer (Claimant) v. ICAP/Investment Services and Trading, LLC and Syndicate Trading, LLC (Respondents) Case Number: 03-08475 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Cole T. Coffer ("Coffer") hereinafter referred to as "Claimant": Scott Browning Gilly, Esq., Thompson Wigdor & G

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Barbara Gerard and Cyril H. Gerard, Individually and as Trustee of the Cyril H. Gerard Rev. Living Trust and Case Number: 03-07745 Hearing Site: Detroit, Michigan Names of Respondents Magellan Securities, Inc., Larry T. Woods, and Terry Laymon NATURE OF DISPUTE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Barbara

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants CasaNumher: 03-07158 Lee R. Petty, individually, and as Personal Representative of Deborah Petty Names of the Respondents Hearing Site- Baltimore, Maryland Daron D. Fullwood Charles C. Heyward, Jr. Sean Wintz UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc. Nature of the Dispute: Customers vs. Member and Associated Persons RF

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Michael L. Rosenkrantz, individually and on behalf of his IRA and Roth Conversion IRA Names of the Respondents American Express Financial Advisors, Inc. William J. Rogers Case Number: 03-06462 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Michael L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Philip Yutan, MD; Philip Yutan M.D., Inc. Retirement Trust dtd 01/01/88; Geok Wa Yutan and Elaine U. Yutan JTTEN; Geok Wa Yutan and Paul U. Yutan JTTEN; Geok Wa Yutan and Elizabeth Yutan JTTEN; Vasanth K. Kumar, MD; Vasanth K. Kumar, MD, IRA Rollover dtd 04/12/00; Meera V. Kumar; Meera V. Kumar IRA dtd 04/14/83; B.J. Patel, M.D.; Patel Living Trust UA dtd 09/09/88; N&B Patel M.D. In

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05739 Martin and Shirley Lerner JTWROS, Claimant v. Spear, Leeds & Kellogg and Carlin Equities, Respondents. ATTORNEYS: ~~ Claimant, Martin and Shirley Lerner JTWROS, ("Claimant"), appeared pro se, Ramat Bet Shemesh, Israel. Respondents, collectively "Respondents": For Respondent, Spear, Leeds & Kellogg, ("SLK"), appeared Ida Wurczinger Draim, Esq., of the firm Dickstein Shapiro Mori