V* * STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants and Yellow Ribbon, Inc. . v. 03-03468 Denver, Colorado Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Stephan D. Papasoff Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Estate of Robert P. Kunkel, DeAnn T. Gaeth-Kunkle and Yellow Ribbon, Inc. ("Claimants") were ^^ represented by Jam

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jackson Boeder and Case Number: 03-03466 Hearing Site: Omaha, Nebraska Names of Respondents Piper Jaffray & Co. f/k/a U.S. Bancorp Piper Jaffray, Inc; Wachovia Securities, Inc. f/k/a Principal Financial Securities, Inc., Everen Securities, Inc., and First Union Securities, Inc.; and Terrel L. Beckwith NATURE OF DISPUTE Customer v. Member Firms

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03462 UBS PaineWebber, Inc. Name of the Respondent Hearing Site: Tampa, Florida John P. Kane Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS PaineWebber, Inc., hereinafter referred to as "Claimant": Brent A. Burns, Esq., Davidson & Grannum, LLP, Northvale, New Jersey. John P. Kane, hereinafter re

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Jon Alan Siwik Claudia T. Siwik Jon Chad Siwik Todd Alan Siwik Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. David Wisehaupt Case Number: 03-03461 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jon Alan Siwik ("J.A. S

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Dominick and Angelina Casamassina, JTWROS Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Alan Gladstone Case Number: 03-03460 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Dominick and Angelina Casamassina, JTWROS, hereinafter refe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nathan Mark Shilberg, Claimant v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and James H. Barnes, Respondents Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and James H. Barnes, Third- Party Claimants v. Sidney and Pearl Shilberg, Third-Party Respondents Case Number: 03-03455 Hearing Site: San Diego, California Nature of the Disputes: Customer v

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael D. Weinreb, Claimant v. UBS PaineWebber and Marc Winters, Respondents Case Number: 03-03450 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Michael Huberman, Esq. Seth Huberrnan, Esq. Huberman & Associates La Quinta, California For Respondents: Robert H. Logan, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marianne Grosso (Claimant) v. Victor Muro, MetLife Securities Inc., and Metropolitan Life Insurance Company (Respondents) Case Number: 03-03445 Hearing Site: New York. New York Nature of the Dispute: Customer v. Members and Associated Person, REPRESENTATION OF PARTIES Claimant Marianne Grosso ("Grosso") hereinafter referred to as "Claimant": John Ross, Esq., Adomo & Y

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Wells Fargo Investments, LLC, Claimant v. Neil D. Berlant, Respondent Neil D. Berlant, Counter-Claimant v. Wells Fargo Investments, LLC, Counter-Respondent Case Number: 03-03437 Hearing Site: San Francisco, California Nature of the Dispute: Member vs. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant and Counter-Respondent: Ronald S. K

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Investments, LLC, Claimant v. Michael Chayes, Respondent Case Number: 03-03436 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Ronald S. Kravitz, Esq. Cindy U. Nguyen, Esq. Liner Yankelevitz Sunshine & Regenstreif San Francisco, California For Respondent: Leonard Steiner, Esq.