Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: GunnAllen Financial, Inc. (Claimant) v. Rand Alan Heckler (Respondent) Case Number: 03-09244 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant GunnAllen Financial, Inc. ("GunnAllen") hereinafter referred to as "Claimant": Jay Marc Israel, Esq., GunnAllen Financial, Inc., Hauppage, NY. Respondent Ran

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Scott demons v. Names of Respondents Gaines Berland, Inc. n/k/a GBI Capital Partners, Inc. and John Michael Rodriguez, Jr. and Name of Cross-Claimant John Michael Rodriguez, Jr. v. Name of Cross-Respondent GBI Capital Partners, Inc. Case Number: 01-01722 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Scott dem

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph A. Critelli as custodian for Matthew Critelli (Claimant) v. Citigroup Global Markets, Inc. and Dick Peer (Respondents) Case Number: 03-09243 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Joseph A. Critelli as custodian for Matthew Critelli ("Critelii") hereinafter referred to as "Claim

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven Price and Beth Price (Claimants) v. American Express Financial Advisors, Inc. and William J. Tassey (Respondents) Case Number: 03-09242 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Steven Price ("S. Price") and Beth Price ("B. Price") hereinafter collectively referred to a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Jaime Figarola Name of the Respondent Credit Suisse First Boston, Inc. Case Number: 03-09241 Hearing Site: Boca Raton, Florida Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Jaime Figarola, hereinafter referred to as "Claimant": Ronald Shindler, Esq. and Melanie S. Cherdack, Esq., Fowler White Burnett, P.A., Mi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-09234 Estate of Gerald Ferdinand, Lane Ferdinand Trustee, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Respondent. ATTORNEYS: For Claimant, Estate of Gerald Ferdinand, Lane Ferdinand Trustee, ("Claimant"), appeared John T. McGuire, Esq., of John T. McGuire & Associates, P.C., New York, NY. For Respondent, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barn

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant John E. White vs. 03-09231 Omaha, Nebraska Names of Respondents CUNA Brokerage Services, Inc., J. Mark King and Members Financial Services " " N A T U R E O F DISPUTE Customer vs. Member Firm, Associated Person and Non-Member REPRESENTATION OF PARTIES John E. White ("Claimant") appeared pro se. CUNA Brokerag

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-09230 Julie Annette-Donnadieu Juliano (daughter) Julie Annette-Donnadieu Juliano (mother) Jeanne Katherine Donnadieu Juliano, individually and on behalf of Sofia Donnadieu Juliano, a minor child Names of the Respondents Hearing Site: Tampa, FL UBS Financial Services, Inc. Stephen J. Martin Wayne S. Dictor Nature of the Dispute

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Michael and Corrine Povich and 03-09219 Phoenix, Arizona Name of Respondents Piper Jaffray & Co. (formerly U.S. Bancorp Piper Jaffray, Inc.) Michael K. Self Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Michael and Corrine Povich ("Claimants") were represented by Alan Baskin, Esq., Bade & Baskin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: WM Financial Services, Inc. (Claimant) v. Fiserv Securities, Inc. (Respondent) Case Number: 03-09216 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES Claimant WM Financial Services, Inc. ("WMFS") hereinafter referred to as "Claimant": Robert J.A. Zito, Esq., Schiff Hardin & Waite, New York, NY. Respondent Fiserv Securities, Inc