StipuIatedAward NASD Dispute Resolution In the Matter of the 'Arbitration Between: Names nf the Claimants ' ' Case Number: 03-03896 Jeffrey Cohen individually and o/b/o his IRA Karen Cohen IRA Names of the Respondents Hearing Site: Washington, D.C. Morgan Stanley Dean Witter, Inc. JohnProsperi Nature of the Dispute: Customers vs. Member and Associated Person. RF.PKF.SFNTATTON OF PARTTF.S Claimants, Jeffrey Cohen individually and o/b/o his ER

Stipulated Award NASD Dispute Resolution la the Matter of the Arbitration Between; Names of the Claimants Joseph and Judith Tamashasky Case Number 03-03895 Names of the Respondents Merrill Lynch, Pierce, Fermer & Smith, Inc. Gregory Kreitz John C. Murphy ring Site- Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants, Joseph and Judith Tamashasky, hereinaft

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services Inc. (f/k/a UBS PaineWebber Inc.), Claimant v. Jason Mitchell, Respondent Jason Mitchell, Counter-Claimant v. UBS Financial Services Inc. (f/k/a UBS PaineWebber Inc.), Counter-Respondent Case Number: 03-03892 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Member v. Associated Person Nature of the Dispute: Associated Person v. Member REPRESENTAT

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Joan Tinkelman, individually and as Trustee of the Elizabeth C. Isserman Supplemental Needs Trust v. 03-03889 Denver, Colorado Respondents Citigroup Global Markets, Inc., and Michael Engel Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Joan Tirikelman, individually and as Trustee of the Elizabeth C. Isserrnan Supp

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between Mark and Tammy Nolan v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Henry Blodget, and Thomas X. Coronado NASD Arbitration No. 03-03885 Hearing Location: Dallas, Texas NATURE OF THE DISPUTE Public Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Claimants Mark and Tammy Nolan ("Claimants") were represented by Wm. Jemison Mims, Jr. o

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Irving W. Cott Credit Shelter TR 6/4/91 Names of the Respondents Lincoln Financial Advisors, Corp. Juliana E. Carew Case Number: 03-03879 Hearing Site: Boca Raton, FL Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Irving W. Cott Credit Shelter TR 6/4/91 ("Cott"), hereinafter referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03877 Cleopatra M. Abdou Nefertiti B. Abdou Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Edward J. Warticki Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Cleopatra M. Abdou and Nefertiti B. Abdou, hereinafte

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ( Name of Claimant Joyce Ann Krochta and 03-03867 Chicago, Illinois Name of Respondents Mesirow Financial, Inc. Liss Financial Services a/k/a J.E. Liss & Company, Inc. » Wayne D. Shook Nature of the Dispute: Customer vs. Member, Terminated Member and Associated Person. REPRESENTATION OF PARTIES Joyce Ann Krochta ("Claimant") was represented by Richard A. Mayer

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas M. Cappels & Michele D. Cappels, Trustees of the Thomas M. Cappels & Michele D. Cappels Family Trust DTD 3/23/99, PaineWebber Gust. Rollover IRA Tom Cappels, PaineWebber Cust. Roth IRA Michele Cappels, Thomas Cappels C/F James Cappels CA UTMA, Thomas Cappels C/F Amy Cappels CA UTMA, Tom Cappels IRA FBO James Cappels and Tom Cappels IRA FBO Amy Cappels, Claimants, vs. U

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE:03~03858 Raymond F. Faby, Claimant v. Ronnie J. King and Frances S. King, Respondents. ATTORNEYS: For Claimant, Raymond F. Faby, ("Claimant"), appeared through the associated firm at the time of the dispute, in-house counsel of Morgan Stanley DW, Inc., Howard Sendroritz, Esq., New York, NY. For Respondents, Ronnie J. King and Frances S. King, ("Respondents"), appeared William N. Butler, Esq.