AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant and Respondents UBS Financial Services, Inc., and William H. Moeller And Respondent/Third-Partv Claimant UBS Financial Services, Inc. v. Third-Party Respondents Carol Young and John Gould Case Number: 03-05674 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member and Associated Persons and Member v. Customers REPRESEN

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant David Siroospour, individually and on behalf of his IRA and Trust Accounts v. 03-05673 Denver, Colorado Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and David Cramer Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES David Siroospour, individually and on behalf of his IRA and Trust Accounts ("Claimant") was

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Leonard M. Danowski and Gloria R. Danowski and Name of Respondent Prudential Securities Incorporated and Mark T. Gierl Case Number: 03-05672 Hearing Site: Milwaukee, Wisconsin NATURE OF DISPUTE Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Leonard M. Danowski and Gloria R. Danowski, ("Claimants"), were represented by Pet

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05670 First Avantus Securities, Inc., Claimant v. David Hayes, Respondent. ATTORNEYS: For Claimant, First Avantus Securities, Inc., ("Claimant"), appeared John Courtade, Esq., Austin, TX. Respondent, David Hayes, appeared pro se, Austin TX. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 1, 2003 CASE SUMMARY: Claimant alleged that Respondent breached his contract by

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stanley Feldman and Pick-A-Part, LLC (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Kenneth Neuman (Respondents) Case Number. 03-05667 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Stanley Feldman ('Teldman") and Pick-A-Part, LLC ("Pick-A-Part") hereinafter collectively r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Evan Klein (Claimant) v. Prudential Equity Group, Inc. f7k/a Prudential Securities, Inc. (Respondent) Case Number: 03-05666 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Evan Klein ("Klein") hereinafter referred to as "Claimant": Ted D. Rosen, Esq., Rosen & Tetelman, LLP, New York, NY. Respondent Prud

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark A. Riely (Claimant) v. Citigroup Global Markets, Inc. file/a Salomon Smith Barney, Inc. (Respondent) v. CRT Capital Group, LLC and Hill, Thompson, Magid & Co. (Respondents) Case Number: 03-05665 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member (Initial Claim) Member v. Members (Third-Party Claim) Claimant Mark A. Riely ("Riely") hereinafter referre

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05661 Wachovia Securities, L.L.C. Name of the Respondent Hearing Site: Boca Raton, Florida Kelly J. Flynn Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, L.L.C., hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, Arlington, Virg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Mike Kelly . , Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 03-05651 Hearing Site: Indianapolis, Indiana Nature of the Dispute: Customer vs. Member Firm REPRESENTATION OF PARTIES Mike Kelly ("Kelly"), hereinafter referred to as "Claimant": Wm. Jemison Mims, Jr., Esq. and Kristian Rasmussen, Esq. of the law firm

Award NASD Dispute Resolution, Inc. uispute Kesoiuiion, inc. In the Matter of the Arbitration Between: Daniel Prior and Mildred Prior vs. OLDE Discount Corporation (now known as H & R Block Financial Advisors, Inc.) and Trent Friederich Case Number: 01 -01599 Hearing Site: Chicago, IL REPRESENTATION OF PARTIES Claimants, Daniel Prior and Mildred Prior, hereinafter collectively referred to as "Claimants" by John Elson, Esq., Northwestern Universi