I Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Hurley Family Revocable Living Trust, Claimant v. Leerink, Swann & Company and Alfred Joseph Sollami, Jr., Respondents Case Number: 01-01490 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Jeffrey A. Feldman, Esq. Law Offices of Jeffrey A. Feldman San Francisco, California For Respondents: Susan F. Drogin, Esq. L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Bonnie Watson, individually Bonnie Watson, MPPP Bonnie Watson, SEP IRA Names of the Respondents Robert W. Baird & Co. Incorporated Gordon Owens Case Number: 03-04694 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Bonnie Watson, individually; Bonnie Watson, M

Stipulated Award NASD Dispute Resolution ARBITRATION BEFORE NASD DISPUTE RESOLUTION JOHN L. ALEXANDER and § TRACE L. ALEXANDER, § Claimants, vs. MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and R. KINNE KELL Respondents. § § § § NASD Arbitration # 03-04691 § § § § § § HF.Ptt.glT.NT flN f PARTTF.S Claimants John L. Alexander and Trace L. Alexander, hereinafter referred to as "Claimants,"

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Roman C. Peterson, Ruth B. Peterson and Roger Peterson and Case Number: 03-04689 Hearing Site: Chicago, Illinois Name of Respondent Edward Jones & Co. Claimants v. Member REPRESENTATION OF PARTIES Roman C. Peterson, Ruth B. Peterson and Roger Peterson, ("Claimants"), were represented by Mark Sanders, Esq., Hailing & Cayo, located in Milwaukee, Wi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Clifford Knapp and 03-04688 Milwaukee, Wisconsin Name of Respondents Prentice Securities, Inc. Timothy D. Morales Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Clifford Knapp ("Claimant") was represented by Paul Erickson, Esq., Gutglass, Erickson, Bonville, Seibel & Faulkner, S.C., Milwaukee, Wisconsin

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Texas Hill Country Corp. and Case Number: 03-04687 Hearing Site: Houston, Texas Names of Respondents UBS Financial Services, Inc., Montague Sylvester Hasie, Aubrey Bruce Stacy, and Elizabeth Jordan Staley NATURE QF DISPUTE Customer v. Member Firm and Associated Persons REPRESENTATION QF PARTIES Texas Hill Country Corp. ("Claiman

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ali Self and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Dora I. Valverde, and Merrill Lynch & Company, Inc. Case Number: 03-04685 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm, Associated Person and Non Member REPRESENTATION OF PARTIES Ali Seif ("Claimant") was represented by Hector Canales, Es

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants William Benton and Dorothy Benton and Respondents Sll Investments, Inc., IFG Network Securities, Inc., and David Gerard Robertson Case Number: 03-04684 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customers v. Members and Associated Person REPRESENTATION OF PARTIES William Benton and Dorothy Benton ("Claimants") were represented by Joseph H.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James W. Byrd and Virginia S. Byrd, as Trustees of the James W. and Virginia S. Byrd Revocable Living Trust, Claimants v. Anthony L. Jennings and Locust Street Securities, Inc., Respondents Case Number: 03-04671 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: David Liebrader, Esq. Law O

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Van Der Velde Associates (Claimant) v. Ladenburg Thalmann & Co., Inc., James Nissan, and John Croce (Respondents) Case Number: 03-04666 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Van Der Velde Associates ("Van Der Velde") hereinafter referred to as "Claimant": Thomas B. Decea