Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James M. Harris, Jr. (Claimant) v. HD Brous & Company, Alex Brown Incorporated and Joseph Jacoby (Respondents). Case Number: 01-01374 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, James M. Harris, Jr. ("Mr. Harris") was represented by William S. Shepherd of the firm Shepherd & Smith, P.C. located in Houston, Texas. Respondents, HD Brous & Co., Inc. (

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03857 Laurence Pilgeram, Claimant v. Shawn P. Fowler, Respondent ATTORNEYS: Claimant, Laurence Pilgeram, ("Claimant"), appeared pro se, Goleta, CA. For Respondent, Shawn P. Fowler, ("Respondent"), appeared David R. Ball, Esq., of the firm Holme, Roberts & Owen, LLP, Denver, CO. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: May 28, 2003 CASE SUMMARY: Claimant alleged th

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03856 Laurence Pilgeram, Claimant v. Barney N. Barnato, Respondent. ATTORNEYS: Claimant, Laurence Pilgeram, ("Claimant"), appeared pro se, Goleta, CA. For Respondent, Barney N. Barnato, ("Respondent"), appeared Peter R. Boutin, Esq., of the firm Keesal, Young & Logan, San Francisco, CA. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: May 28, 2003 CASE SUMMARY: Claimant a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03855 Laurence Pilgeram TTEE Pilgeram TR, Claimant v. David E. Weiner, Respondent, ATTORNEYS: Claimant, Laurence Pilgeram TTEE Pilgeram TR, ("Claimant"), appeared pro se, Goleta, CA. Respondent, David E. Weiner, ("Respondent"), appeared pro se, Tenafly, NJ. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: May 28, 2003 CASE SUMMARY: Claimant alleged that Respondent was neglige

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03854 Carl G. Johnson, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., Jack B. Grubman, and Sandy I. Weill, Respondents. ATTORNEYS: Claimant, Carl G. Johnson, ("Claimant"), appeared pro se, Hendersonville, TN. Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., Jack B. Grubman, and Sandy I. Weill, (collectively "Respondents"), appeared thr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Freya Chernin IRA R/O (Claimant) v. UBS PaineWebber, Inc. n/k/a UBS Financial Services, Inc. and Arlene Kaplan (Respondents) Case Number: 03-03853 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Freya Chernin IRA R/O ("Chernin") hereinafter referred to as "Claimant": Patrick T. Collins, Esq., F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph C Parisi (Claimant) v. CUNA Brokerage Services, Inc. and Joseph J. Careccia (Respondents) Case Number: 03-03849 Hearing Site: Albany, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Joseph C. Parisi ("Parisi") hereinafter referred to as "Claimant": Salvatore D. Ferlazzo, Esq., Girvin & Ferlazzo, P.C., Albany, NY

In the Matter of the Arbitration Between: Karen B. Miner and Karen B. Miner ERA (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Kathleen Newell (Respondents) Case Number: 03-03847 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Karen B. Miner ("Miner") and Karen B. Miner IRA ("Miner IRA") hereinafter collectively referred to as "Claimants": James B. Davis, Esq

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Fred M, MacGregor and Joanne C. MacGregor, co-trustees of the Fred M. MacGregor Revocable Trust UA DTD 05/28/96 Names of the Respondents Prudential Securities, Inc. Sebastian Messina Case Number: 03-03834 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gregory Eansor, Victoria Eansor, and The Eansor Living Trust dtd 2/17/00, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Inc. and Kevin S. Calderon, Respondents Case Number: 03-03829 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: For Respondents: Mitchell J. Albert, Esq.