Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Feldsted, Claimant v. LH Ross & Company, Inc., Kristian F. Sierp, Franklyn R. Michelin, and Charles P. Celestin, Respondents Case Number: 03-05979 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Chris R. Youtz, Esq. Sirianni Youtz Meier & Spoonemore Seattle, Washington For R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05970 Jacob B. Bushwell, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Jacob B. Bushwell, ("Claimant"), appeared Wm. Jemison Mims, Jr., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner, & Proctor, P.A., Pensacola, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared Luther M. Dorr, Jr., Esq., of the firm

NASD DISPUTE RESOLUTION AWARD KASD DISPUTE RESOLUTION CASE: 03-05969 Martin McNulty, Claimant v, UBS Financial Services, Inc. #kfa UBS PaineWebber, Inc., Respondent ATTORNEYS: Claimant, Martin McNuhy, ("Claimant"), appeared pro sc. Lynn, MA. Respondent, UBS Financial Services, Inc. ftk/a UBS PaineWebber, Inc., ("Respondent"), appeared through its in-house counsel Heather A. Wright, Esq., New York, NY. NATURE OF DISPUTE: Customer v. Member DATE F

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald S. Kaplan, Aaron Kaplan Custodian Account, June Mayor, Lisa Kaplan Gordon and Gregory Gordon (Claimants) v, Prudential Equity Group, LLC, f/k/a Prudential Securities, Inc. and Paul C. Merenbloom, (Respondents) Case Number: 03-05968 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claima

Award NASD Dispute Resolution In the Matter of the Arbitration Between: =* Everett Carbajal and Everett Carbajal IRA (Claimants) v. Citigroup Global Markets, Inc. fk/a Salomon Smith Barney, Inc. (Respondent) Case Number: 03-05965 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member. REPRESENTATION OF PARTIES Claimants Everett Carbajal ("Carbajal") and Everett Carbajal IRA ("Carbajal IRA") hereinafter collectively referred

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: Sky King Unlimited, Inc. 01-01626 Names of the Respondents Hearing Site: UBS PaineWebber, Inc. and Charles Duffy Boca Raton, FL REPRESENTATION OF PARTIES For Sky King Unlimited, Inc., hereinafter referred to as "Claimant": Lloyd R. Schwed, Esq., Kubicki Draper, West Palm Beach, FL. For Respondent UBS PaineWebber, Inc. ("PW"): Sara Soto, Esq., Fowler

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nikonas Maitoglou (Claimant) v. Continental Broker-Dealer Cojp., Anthony Joseph Calascione, Thomas Tiernan, Mark Goetz, Dominick Bianco, Gregory Mumtaz Hasho, and Wexford Clearing (Respondents) Case Number: 03-05964 Hearing Site: New York, New York Nature of the Dispute: Customer v. Members and Associated Persons. REPRESENTATION OF PARTIES Claimant Nikonas Maitoglou ("Maitoglou"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the riaimflnfg Case IMnmher- 03-05963 Lynn and Lenore Marzulli Name of the Respondent Hearing Site: Philadelphia, PA Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc. "Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants, Lynn and Lenore Marzulli, hereinafter collectively referred to as "Claimants", represented themselves at the

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants John and Beverly Shroat and 03-05954 Chicago, Illinois Name of Respondents Merrill Lynch Pierce Fenner & Smith Russell E, Werner __ Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES John and Beverly Shroat ("Claimants") were represented by Steven J. Rotunno, Esq., Kubasiak, Fylstra, Reizen & Rotunno, Chic

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name r>f the Claimant Cast* Number- 03-05952 Larry and Sharon Alderson Name of the Respondents Hearing Site: St. Louis, Missouri Morgan Stanley DW, Inc. and Stifel, Nicolaus & Co., Inc. MATTTttF OF Customers vs. Member Firms OF PAttTTF Steven W. Koslovsky of the Law Offices of Steven Koslovsky, LLC located in Maryland Heights, Missouri, represented Claimants, Larry a