Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter Lupoli (Claimant) v. Michael T. Kuczinski, Investors Capital Corp. and Walnut Securities, Inc. (Respondents) Case Number: 03-06057 Hearing Site: New York, New York Nature of the Dispute: Customer v. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Peter Lupoli ("Lupoli"), hereinafter referred to as "Claimant": Howard S. Meyers, Esq., of Meyers &

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Adriana Rose, individually and as Trustee of the Adriana Rose IRA, and as Joint Tenant, and Ferdinand Bonilla and Steve Rose, as Joint Tenants Names of the Respondents Morgan Stanley Dean Witter Linda Kirschbaum Case Number: 03-06053 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person.

* 1 Revised Award In the Matter of the Arbitration Between: ££: 01-01630 Roger Peak and Susan Peak p nf fl-)p, KftgpQfldfflfg jjflp.grjflg ftit^-' Houston, Texas First Union Securities, Inc., UBS PaineWebber, Inc., and John Phelps Claimant, Roger Peak and Susan Peak, hereinafter referred to as "Claimants": Annette M. Henry Esq., Annette M. Henry, Attorney at Law, located in Houston, Texas. Respondents, First Union Securities, Inc., ("First U

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06049 Ray Koury, Claimant v. J. Sergio Bohon, Respondent. ATTORNEYS: Claimant, Ray Khoury, ("Claimant"), appeared pro se, Albany, CA. For Respondent, J. Sergio Bohon, ("Respondent"), appeared the in-house counsel of the associated firm at the time of the dispute, Morgan Stanley DW Inc., Ronald E. Wood, Esq., Los Angeles, CA. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert J. Peat Case Number: 03-06044 Claimant, v. Hearing Site: St. Louis, Missouri MUrjen Financial, Inc., Michael P, Murphy and Olympia Asset Management Ltd. Respondents. NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Robert J. Peat ("Peat"), hereinafter referred to as "Claimant": Michael D. Hart, Esq. of t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06032 William F. Cohen IRA, and William F. Cohen Family Trust Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: Claimant, William F. Cohen IRA, and William F. Cohen Family Trust ("Claimants"), appeared pro se, New York, NY. Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared through their in-house counsel, Brett D. Sherman, Esq., Ne

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06031 Francine Rinaldo, Claimant v. Eduard Hamamjian, David Vessella, and Essex National Securities, Inc., Respondents. ATTORNEYS: For Claimant, Francine Rinaldo, ("Claimant"), appeared Jay R. Katznelson, Narrangansett, RI. Respondent, Eduard Hamamjian, ("Hamamjian"), appeared pro se, Cranston, RI. Respondent, David Vessella, ("Vessella"), appeared pro se, Cranston, RI. For Respondent, E

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE; 03-06030 David Schill, Claimant v. Robert W. Baird & Co., Incorporated, and David L. Simonis, Respondents. ATTORNEYS: "~~~ For Claimant, David Schill, ("Claimant"), appeared Avery B. Goodman, of A.B. Goodman Law Firm, Ltd., Fort Collins, CO. Respondents, Robert W. Baird & Co., Incorporated, and David L. Simonis, ("Respondents"), appeared through their in-house counsel, Deborah J. Fabritz, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christopher F. Carmel, Christopher F. Carmel ACF Nathalie F. Carmel, and Christopher F. Carmel ACF Henry P. Carmel (Claimants) v. Citigroup Global Markets f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman (Respondents) Case Number: 03-06027 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Ch

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf thp Claimants Case Number: 03-06026 Harry Maxwell John Maxwell Names nf th^ Respondents Hearing Site: Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Jeanne Eisele Nature of the Dispute: Customers vs. Member and Associated Person. RF.PRF.SF.NTATTON OF PARTTF.S Claimants, Harry Maxwell and Joan Maxwell, hereinafter collectively referred to