"f * AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: UBS Financial Services, Inc., Claimant vs. Edward F. Pellegrini, Respondent Case Number: 03-06208 SITUS: Dallas, Texas. NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES: UBS Financial Services, Inc., hereinafter referred to as "Claimant," was represented by Brent A. Burns, Esq., of the firm of Davidson & Grannum, LLP, located in Orangeburg, N

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Borselli Living Trust dtd 10/20/2000, Kathleen Borselli, and Agostino Borselli, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Inc., Edward J. Hogan, III, and Raymond E. Tate, Respondents Case Number: 03-06202 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Timothy A. Canning,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants KayP.Collings Cinda R. Anderson g nf the Pase Number- 03-6199 A.G. Edwards & Sons, Inc. Catherine Threat Alan H.Shaw Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customers vs. Member and Associated Persons. RFPRRSFNTATTON OF PAETTF.S Claimants, Kay P. Collings ("Collings") and Cinda R. Anderson ("Anderso

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Albert Sarfati, Esther Sarfati, and Norman Sarfati (Claimants) v. Prime Charter n/k/a Fahnestock & Co., Inc. and Adi Elfenbein (Respondents) Case Number: 03-06195 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Albert Sarfati ("A. Sarfati"), Esther Sarfati ("E. Sarfati"), and Norman Sarfati ("N.

Award NASD Dispute Resolution hi the Matter of the Arbitration Between: Lincoln Construction, Inc. Profit Sharing Plan and Trust, Kurt N. Schmitt, Trustee (Claimant) v. Prudential Equity Group, Inc. f/k/a Prudential Securities, Inc. and Ellwood W. Lewis (Respondents) Case Number: 03-06194 Hearing Site: Columbus, Ohio Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Lincoln Construction, Inc. Profit

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06189 Mary D. Miller & Stephen R. Miller & Patricia A. Canenas IT/TEN Name of the Respondent Hearing Site: Boca Raton, Florida Advest, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mary D. Miller ("M. Miller"), Stephen R. Miller ("S. Miller") and Patricia A. Canenas JT/TEN ("Canenas"),

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pristine Securities LLC d/b/a Mastertrader.com, Pristine Services, Inc., Pristine Capital Holdings, Inc., Oliver L. Velez, and Gregory Capra (Claimants) v. Instinct Clearing Services, Inc., Terra Nova Trading, LLC, and George Luis Muniz (Respondents) Case Number: 03-06185 Hearing Site: New York, New York Nature of the Dispute: Member, Non-Members, and Associated Persons v. Members and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06179 William Booth Pamela Booth Names of the Respondents Hearing Site: Boca Raton, Florida John Randolph Gunnip Kevin Scott Gunnip Morgan Stanley DW Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For William Booth and Pamela Booth, hereinafter collectively referred to as "Claima

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Michael L. Skorka and 01-01634 Denver, Colorado Name of Respondents J.P. Turner & Company, LLC George Christodoulou REPRESENTATION OF PARTIES Michael L, Skorka ("Claimant") was represented by R. Craig Ewing, Esq., of Ewing & Ewing, PC, Englewood, Colorado. J.P. Turner & Company, LLC ("J.P. Turner") and George Christodoulou ("Christodoulou") were

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants William E. Thompson, Individually William E. Thompson, as Administrator of the Estate of Betty W. Thompson, deceased Names of the Respondents Metlife Securities, Inc. Richard Craig Adamson Case Number: 03-06177 Hearing Site: Little Rock, Arkansas Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES