Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05395 Shannon L. Ertter Name of the Respondent Hearing Site: Tampa, FL Patricia A. Quaranta Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES For Shannon L. Ertter, hereinafter referred to as "Claimant": Robert Penezic, Esq., Broad and Cassel, P.A., Fort Lauderdale, Florida. For Respondent Pat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alfonso G. Garcia, Claimant v. Morgan Stanley DW Inc. and Robert J. Rocha, Respondents Case Number: 03-05393 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Thomas D. Mauriello, Esq. Law Offices of Thomas D. Mauriello San Francisco, California For Respondents: Paul D. Allen, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margaret Look, Claimant v. California Federal Bank aka/dba Cal Fed Investment Services, nka Citicorp Investment Services, Christian N. Pfeiffer and Ivory J. Hart, Respondents Case Number: 03-05391 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Lee S. Harris, Esq. Goldstei

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Laura Jo Garrison and Name of Respondent / Third Party Claimant Prudential Equity Group, LLC and Name of Third Party Respondent Mehran Azarfar Case Number: 03-05390 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm v. Customer REPRESENTATION OF PARTIES Laura Jo Garrison ("Claimant") was represented by Joel H. Pulle

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05389 UBS Financial Services Inc. f/k/a UBS PaineWebber, Inc., Claimant v. David Prescott, Respondent. ATTORNEYS: For Claimant, UBS Financial Services Inc. f/k/a UBS PaineWebber, Inc., ("Claimant"), appeared Deborah H. Gottlieb, Esq., of the firm Davidson, Manchel & Brennan, LLP, Northvale, NJ. Respondent, David Prescott, ("Respondent"), did not submit a response to the Statement of

Award n,:--,..4.« o n « In the Matter of the Arbitration Between: Name of the Claimant Pase Niimhgr- 01-01556 Charles Robert Dadds Names of thfi Respondents Hearing Site* Philadelphia, PA Nationwide Insurance Enterprises Nationwide~insurance Company Nationwide Life Insurance Company Nationwide Financial Services, Inc. Nationwide General Insurance Company S":^ Nationwide Mutual Insurance Company Nationwide Mutual Fire Insurance Co

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05387 Anne and George Gold, TTTES, Claimants v. Dreyfus Service Corporation, Respondent. ATTORNEYS: For Claimants, Anne and George Gold, TTEES, ("Claimants"), appeared Gregory Tendrich, P.A., of the Law Offices of Gregory P. Tendrich, P.A., Boynton Beach, FL. For Respondent, Dreyfus Service Corporation, ("Respondent"), appeared Jayme L. Butcher, Esq., of the firm Reed Smith LLP, Pittsburgh,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: George C. Stills, Jr. (Claimant) v. Quick & Reilly, Inc. (Respondent) Case Number: 03-05386 Hearing Site:,New York, New York Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant George C. Stills, Jr. ("Stills") hereinafter referred to as "Claimant" appeared pro se. Respondent Quick & Reilly, Inc. ("Q&R") hereinafter referred to as "Respondent"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William Hurley and Holly M. Hurley JTWROS and William Hurley IRA (Claimants) v. Wachovia Securities, LLC, James Hart, and Lance Million (Respondents) Case Number: 03-05384 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants William Hurley and Holly M. Hurley JTWROS ("The Hurleys") and William Hur

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ft Claimant Pggp Mimhftr- 03-05377 Betty Fowler ofth p P p ^p n n < 1?nt g Fearing Sit?' Dallas, Texas Wachovia Securities, LLC and Edwin Troy Hawkins OF T Public Customer v. Member Firm and Associated Person Claimant Betty Fowler, hereinafter referred to as "Claimant": Scott R. Baker, Esq. of Dallas, Texas. Respondent Wachovia