NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04046 Geek Securities, Inc., Claimant v. Sunstate Equity Trading, Inc. and James Kelly, Respondents. ATTORNEYS: For Claimant, Geek Securities, Inc., ("Claimant"), appeared Brett Dohner, Boca Raton, FL. Respondents, collectively known as "Respondents": For Respondent, Sunstate Equity Trading, Inc., ("Sunstate"), appeared James R. Kelly, Tampa, FL. Respondent, James Kelly, ("Kelly") appear

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Todd Koosman v. 01-01436 Minneapolis, Minnesota Respondents Liss Financial Services f/k/a J.E Liss & Company, Inc. and Justin W. Pagel REPRESENTATION OF PARTIES Todd Koosman ("Claimant") was represented by William S. Lapp, Esq., of Lapp, Libra, Thomson, Stoebner & Pusch, Minneapolis, Minnesota. Liss Financial Services f/k/a J.E Liss & Company, Inc. ("Liss

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' Name of Claimant ; UBS Financial Services, Inc. and Case Number: 03-04045 Hearing Site: Dallas, Texas Name of Respondent Thomas Wilson 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

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04044 Jean B. Carlson, Individually and as Trustee U/A DTD 11/19/1990 by William H. Carlson Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith Inc. and Rajesh Bhatia REPRESENTATION OF PARTIES Claimant was represented by Howard J. Stein. Respondents were represented by John J. Kilkenny and Timothy E. Horton of Unga

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Albert Castelli (Claimant) v. HSBC Brokerage (USA), Inc. (Respondent) Case Number: 03-04035 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Albert Castelli ("Castelli") hereinafter referred to as "Claimant" appeared pro se. Respondent HSBC Brokerage (USA), Inc. hereinafter referred to as "Respondent": Scott D. M

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-04031 Marlene D. Mazor The Estate of Martha Dinowitz Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Louise Abrams Donald Olszowy, Jr. James Morelli, n Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Marlene D. Mazor and The Estate

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04029 John and Patti Nezbed, Claimants vs. M&I Brokerage Services, Inc. and William K. Curtis, Respondents. ATTORNEYS: Claimants, John and Patti Nezbed, ("Claimants"), appeared pro se, Green Bay, WI. For Respondents, M&I Brokerage Services, Inc. and William K. Curtis, ("Respondents"), appeared Gregory T. Everts, Esq., Madison, WI. NATURE OF DISPUTE: Customer v. Member and Associated Pers

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04028 Michael H. Garland Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley Dean Witter, Inc. Joseph Weston, Jr. Chip Wright Daniel Murphy Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Michael Garland, hereinafter referred as "Claimant": Patrick A. Davis, Esq., Cl

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between 1 | Claimant American State Bank & Trust of Dickinson '• |( i v 03-04021 Minneapolis, Minnesota Respondents US Bancorp Piper Jaffray, Inc. and Michael Altringer Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES American State Bank & Trust of Dickinson ("Claimant") was represented by Terrance M. Fruth Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Reginald Wayne Clark and Beverly Jean Clark Family Trust, Claimant v. Morgan Wilshire Securities, Inc. and Dimitry Alex Metelkin, Respondents Case Number: 03-04010 Hearing Site: San Diego, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Reginald Wayne Clark In Pro Per San Diego, California For Respondent