Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Samuel Matter Linda Matter Linda Matter and Sam Matter JTWROS Beth Lara Matter Custodial Account Jason Eric Matter Custodial Account Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Marc J. Tendler Case Number: 03-03975 Hearing Site: Boca Raton, FL Nature of the Dispute: Customer vs. Member and Associated

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Robert Nix and Josephine Nix Names of the Respondents Salomon Smith Barney, Inc., Lisa Kaye and Paul Abrams Case Number: 03-03974 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert Nix and Josephine Nix, hereinafter collectively referred to as "Clai

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01434 Eileen M. Warren, claimant vs. Waddell & Reed, Inc. and Kenneth L. Sheets, respondents. ATTORNEYS: For Claimant appeared Jon M. Lacy, CFP, Diamond Springs, CA. For Respondents appeared Anthoney J. Durone and Charles D. Marvine, Esq., of the firm Berkowitz, Feldmiller, Stanton, et al, Kansas City, MO. DATE FILED: March 21, 2001 CASE SUMMARY: Claimant alleged that respondents fa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norman Sneider (Claimant) v. Morgan Stanley Dean Witter, Vincent Leto, Richard J. Less, Mary Meeker, and Morgan Stanley & Co. (Respondents) Case Number: 00-00730 Hearing Site: New York, New York Nature of the Dilute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Norman Sneider hereinafter referred to as "Claimant": George L. Mahr, Esq., Madison, NJ

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert R. Heller (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Manly K. Church (Respondents) Case Number: 03-03967 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Robert R. Heller ("Heller") hereinafter referred to as "Claimant": J. Anklowitz, Esq., Bohemia, NY. Respondent M

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03966 Merrill Lynch Pierce Fenner & Smith, Inc., Claimant v. Christophe Thomas n, Respondent. ATTORNEYS: ~ For Claimant, Merrill Lynch Pierce Fenner & Smith, Inc., ("Claimant"), Jill E. Steinberg, Esq., of the law offices of Rogers & Hardi, LLP, Atlanta, GA. Respondent, Christopher Thomas n ("Respondent") did not submit a response to the Statement of Claim. NATURE OF DISPUTE: Member v. C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: L.I. Sunshine Realty, LLC, Kevin R. Seek IRA, Kathleen D. Seek IRA, Robert F. Seek c/f Robert E. Seek, Elizabeth A. Seek IRA, and Jacklyn M. Seek (Claimants) v. UBS Financial Services, Inc. f/k/aUBS PaineWebber, Inc., Robert Cochrane, and James B. Daley, Jr. (Respondents) Case Number: 03-03964 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Ass

COPY NASD Dispute Resolution In the Matter of the Arbitration Between: Patsy Y. Butler, Claimant v, Morgan Stanley DW Inc. and John Joseph Moran, Respondents Case Number: 03-03957 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Mitchell S. Ostwald, Esq. Law Offices of Mitchell S. Ostwald Sacramento, California For Respondents: John Worden, Esq. M

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Fahenstock&Co., Inc. and Name of Respondent Laura Sage Case Number: 03-03955 Hearing Site: Chicago, Illinois NATURE OF DISPUTE Member v. Associated Person. REPRESENTATION OF PARTIES Fahnestock & Company, ("Claimant"), was represented by Andrew J. Kohler, Esq. and Eric J. Shames Esq. of Oppenheimer & Company, a division of Fahnestock & Co., Inc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: A. James Leeds and June Ruth Leeds aka Ruth R. Leeds, Claimants v. Morgan Stanley DW Inc., Prudential Equity Group, LLC, Dominic Prosi, Rad Brdar, and Anthony J. Maude, Respondents Case Number: 03-03954 Hearing She: Los Angeles, California Nature of the Dispute: Customers v. Members and Associated Persons REPRESENTATION OF PARTIES For Claimants: For Respondents Morgan Stanle