AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: UBS PaineWebber, Inc. n/k/a UBS Financial Services, Inc., (Claimant) vs. Matthew Christopher Abel, (Respondent) Case Number: 03-03581 Situs: Cincinnati, Ohio Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES UBS Paine Webber, Inc. n/k/a UBS Financial Services ("UBS") hereinafter referred to as "Claimant": Deborah H. Gottlieb, Esq., Davidson, Manch

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant UBS Financial Services, Inc. and Name of Respondent Collin Evans Case Number: 03-03578 Hearing Site: Houston, Texas 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, Manchel & Brenhan, of Northvale, New

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant UBS PaineWebber, Inc. n/k/aUBS Financial Services, Inc. and 03-03577 Phoenix, Arizona Name of Respondents David William Block Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES UBS PaineWebber, Inc. n/k/a UBS Financial Services, Inc. ("Claimant") was represented by Deborah H. Gottlieb, Esq., Davidson, Manchel & Brennan, LLP

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Norman W. Fishman, Individually and as TTEE for Ari Fishman and Case Number: 03-03575 Hearing Site: Chicago, Illinois Name of Respondent Wachovia Securities. LLC. f/k/a First Union Securities, Inc. NATURE OF DISPUTE Customer v. Member. REPRESENTATION OF PARTIES Norman W. Fishman, individually and as TTEE for Ari Fishman ("Claimant") or ("Fishm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03573 Howard Elliot Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Howard Elliot, hereinafter referred to as "Claimant": William Jemison Mims, Jr., Esq., Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number 03-03569 George N. Foudos and Helen G. Foudos Names of the Respondents Hearing Site: Baltimore, Maryland Merrill Lynch, Pierce, Fenner & Smith Incorporated Sandra I. Liotta Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants, George N. Foudos and Helen G. Foudos, hereinafter colle

Stipulated Award COPY NASD Dispute Resolution ^^ ^^ • • In the Matter of the Arbitration Between: William Bernard and Barbara Bernard, Claimants v. Morgan Stanley DW Inc., Jeffrey N. McFadden and Wayne L. Gilliam, Respondents Case Number: 03-03565 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Timothy A. Canning, Esq. Novato, California For Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Larry Willard, Claimant v. Morgan Stanley DW Inc., formerly known as Morgan Stanley Dean Witter, Inc., Respondent Case Number: 03-03563 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Claimant: Steven L. Miller, Esq. Attorney At Law Encino, California For Respondent: Eric G. Wallis, Esq. Reed Smith LLP

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cantone Research, Inc. (Claimant) v. Caspar (Joe) Quattrochi and Quattro Consulting Inc., and Joseph Pacillo (Respondents) Case Number: 03-03561 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Persons and Non-Member. REPRESENTATION OF PARTIES Claimant, Cantone Research, Inc. ("CRT), hereinafter referred to as "Claimant?: Christine L. Cantone, Cantone

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Robert W. Baird & Co., Inc. and 01-01325 Grand Rapids, Michigan Farouq Karadsheh REPRESENTATION OF PARTIES Robert W. Baird & Co., Inc. ("Claimant") was represented by Gregory G. Wille, Esq., Wille, Gregory & Lundeen, Milwaukee, Wisconsin. Farouq Karadsheh ("Respondent") did not appear. CASE INFORMATION The Statement of Claim was filed on or about March 15,2001.