Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04461 Michael Echelman Name of the Respondent Hearing Site: Tampa, Florida A.G. Edwards & Sons, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Michael Echelman, hereinafter referred to as "Claimant": S. David Anton, Esq., S. David Anton, P.A., Tampa, Florida. For A.G. Edwards & Sons, Inc., here

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant UBS Financial Services, Inc. and Case Number: 03-04456 Hearing Site: Houston, Texas Name of Respondent Stephen Stork NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimant" or "UBS Financial") was represented by Brent A. Burns, Esq., of Davidson & Grannum, LLP, of Northvale, New Jersey.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-04446 Gamal Garas and Siham Garas JT TEN Name of the Respondent Hearing Site: Tampa, FL Wall Street Access Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Gamal Garas and Siham Garas JT TEN, hereinafter collectively referred to as "Claimants", appeared pro se with assistance from Mr. Ahab Garas. For Respondent

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Hilde Klein IRA Rollover Hilde Klein Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Tony Morgia Case Number: 03-04445 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Hilde Klein IRA Rollover and Hilde Klei

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-01465 Ameritrade, Inc., claimant vs. Danny J, Jones and Carla J. Jones, respondents. ATTORNEYS: For Claimant appeared James J. Vihstadt, Esq., in-house counsel, Bellevue, NE. Respondents failed to submit a response to the Statement of Claim, DATE FILED: March 23, 2001 CASE SUMMARY: Claimant alleged that respondents failed to pay the unsecured debit balance in their margin account.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary F. Leibold (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Gene J. Papa, and George Ryan, Esq. (Respondents) Case Number: 03-04442 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member, Associated Person, and Non-Member. REPRESENTATION OF PARTIES Claimant Mary F. Leibold ("Leibold") hereinafter referred to as "Claimant": Brian J. Nevil

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW, Inc. (formerly Dean Witter Reynolds, Inc.)(Claimant) v. Fred Moscone (Respondent) Case Number: 03-04440 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Morgan Stanley DW, Inc. ("MSDW") hereinafter referred to as "Claimant": Robert C. Scremin, Esq., Kane & Fischer, Ltd., Chicago, IL.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Harry J. and Anetha Diamond and Names of Respondents Prudential Equity Group, LLC, and Louis M. Perry Case Number: 03-04434 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person Harry J. and Anetha Diamond ("Claimants") were represented by Lance Arney, Esq., The Arney Law Firm, Houston, Texas and Hartl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Young Jun Yang, Claimant v, Morgan Stanley DW Inc. and Gapsik Choo, Respondents Case Number: 03-04429 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Marc I. Zussman, Esq. Law Offices of Marc I. Zussman Los Angeles, California For Respondents: Ronald E. Wood. Esq. Christine Pham

05/23/20GS 15:20 FAX 202 728 8082 NASD DISPUTE RESOLUTION 1^002/005 Award NASD Dispute Resolution In the Matter of the Arbitration Between: f the Eugene R. and Patricia M. Olson Name nf the Respondents Kenneth Rock American Express Financial Advisors, Inc. TJfnmher 03-04428 Hearing Site! Pittsburgh, PA Nature of the Dispute: Customers vs. Associated Person and Member PARITIES Claimants, Eugene R. and Patricia M. Olson, he