AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Gerald and Gilda Henson and 03-04568 Nashville, Tennessee Name of Respondent Morgan Stanley DW Inc. 'i Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Gerald and Gilda Henson ("Claimants") were represented by H. Naill Falls, Jr., Esq., Falls and Veach, Nashville, Tennessee. Morgan Stanley DW Inc. ("Respondent") was repr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John and Louise Teutonico (Claimants) v. Morgan Stanley DW, Inc., Prudential Securities, Inc. n/k/a Prudential Equity Group, Inc., and Antonio Coppola (Respondents) Case Number: 01-01472 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimants John and Louise Teutonico ("the Teutonicos") hereinafter colle

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Richard F. Piccolo Name, of the Respondents UBS Financial Services, Inc. and Mary Zainey Townsend Case Number: 03-04566 Hearing Site: Indianapolis, Indiana MATIIPF HP Customer vs. Member Firm and Associated Person nc Terry R. Curry, Esq. of the law firm Sommer Barnard Ackerson, P.C., located in Indianapolis, Indiana represented Richard F.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, Inc. and Name of Respondent Abdurrahman S. Naser Case Number: 03-04564 Hearing Site: Houston, Texas NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, Inc. ("Claimant") was represented by Ronald P. Kane, Esq. and Robert Scremin, Esq., Kane & Fischer, Ltd., Chicago, Illinois.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Cage Number: 03-04559 Geraldine B. Casapulla Name nf the Respondents Hearing Site: Philadelphia, PA UBS Financial Services Inc. (f/k/a UBS PaineWebber Inc.) Bradford L. Carson Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION- OF PARTIES Claimant, Geraldine B. Casapulla, hereinafter referred to as "Claimant", appeared p

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: g of Claimant fW Niimher- 03-04558 Enid Pitman Names of Respondents Hearing Site? Philadelphia, PA John G.Beckett Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTFES Claimant, Enid Pitman, hereinafter referred to as "Claimant", was represented by Jeffrey N. Kale, Esq., Law Offices o

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Jerry and Janice Marchbanks and Legg Mason Wood Walker, Inc. and Donald C. Celestin Case Number: 03-04554 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person Jerry and Janice Marchbanks ("Claimants") were represented by Steven Marchbanks, Esq., San Diego, California. Legg Mason Wood Walker

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-04551 James R. Schaub Alice M. Schaub Names of the Respondents Hearing Site: New Orleans, Louisiana Salomon Smith Barney Donald E. Domingue Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For James R. Schaub and Alice M. Schaub, hereinafter collectively referred to as "Claimants": Stephen

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Thomas Rodriguez Moran and Names of Respondents Merrill Lynch, Pierce, Fenner& Smith, Inc. and Newlin E. Lancaster Case Number: 03-04550 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Thomas Rodriguez Moran ("Claimant") was represented by Francis X. Sexton, Jr.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Renate L. Gardner, Claimant v. Pacific West Securities, Inc., David L. Baker, Shanon L. Ford and Erinn J. Ford, Respondents Case Number: 03-04547 Hearing Site: Salt Lake City, Utah Nature of Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Randall Heiner, Esq. Law Offices of Randall Heiner Salt Lake City, Utah For Resp