Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gertrude Goldstein Revocable Trust, Claimant v. American Skandia Marketing, Inc. and Washington Square Securities, Inc., Respondents Case Number: 03-03319 Hearing Site: San Diego, California Nature of the Dispute: Customer vs. Members REPRESENTATION OF PARTIES For Claimant: Erwin J. Shustak, Esq. Shustak Jalil & Heller San Diego, California For Respondent American Sk

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' i Claimant ' Edward E. Greco v. 03-03317 Minneapolis, Minnesota Respondents National Clearing Corporation f/k/a J.B. Oxford & Company Nature of Dispute: Customer v. Member ' ' REPRESENTATION OF PARTIES Edward E. Greco ("Claimant") was represented by Daniel D. Hill, Esq., of Hjll Law Office, Maple Grove, Minnesota. National Clearing Corporation f/k/a J.B. Oxford

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Claimants Larry and Robert Kolodey and Case Number: 03-03315 Hearing Site: Detroit, Michigan Respondents Morgan Stanley DW, Inc., and Thomas Gerald Tarvis ' NATURE OF CASE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Larry and Robert Kolodey ("Claimants") were represented by Robert Bertsch, Esq., Bertsch & Associates PC, Port

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Mark and Nancy Carleton and Names of Respondents . Merrill Lynch Pierce Fenner & Smith, Inc. and David R. Zoellner, Sr. Case Number: 03-03313 Hearing Site: Southfield, Michigan Customers v. Member and Associated Person REPRESENTATION OF PARTIES Mark and Nancy Carleton ("Claimants 11 ) were represented by Anthony V. Trogan, Esq., and

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Barbara Hillyer and Frederick Hillyer v. 03-03311 Minneapolis, Minnesota Respondents Financial Network Investment Corporation JRA Financial Advisors, and James R. Reynolds Customers v. Member Firm, Non-Member Firm and Associated Person REPRESENTATION OF PARTIES Barbara Hillyer and Frederick Hillyer ("Claimants") were represented by Terrence J.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ed Goldin, Claimant v. Matthew Young Parish, Richard Walsh and Salomon Smith Barney, Inc., Respondents Case Number: 01-01296 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimant: David Liebrader, Esq. Law Offices of David Liebrader Las Vegas, Nevada For Respondents: Victor A. Machcinski, Jr. Salomon Smith Barney, Inc. New York, New York CASE INF

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thp riaimatit Pagf Number- 03-03308 Richard L. Patton Name nf the ftpsponftents Hearing Site: Raleigfa, NC Newbridge Securities Corporation Michael Christopher Smith Nature of the Dispute: Customer v. Member and Associated Person. RF.PRFSFNTATTON OF PARTTFS Claimant, Richard L. Patton, hereinafter referred to as "Claimant", represented himself at the Respondent,

Award NASD Dispute Resolution In the Matter of the Arbitation Between: Name nf the Claimant ("!ase Number 03-03307 Deborah Blair Stevens eg of the Respondents Hearing site' Philadelphia, PA Morgan Stanley DW Inc. John L. Williams Nature of the Dispute: Customer vs. Member and Associated Person RFPRFSFlVTATinN OF PARTTFS Claimant, Deborah Blair Stevens ("Stevens"), hereinafter referred to as "Claimant", was represented at the hearing by Roger

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James M. McKenney, Golden Gate Door & Window, Inc. Profit Sharing Plan and Golden Gate Door & Window, Inc. Money Purchase Pension Plan vs. Michael Scot Lance, Tony N. Tarrab and UBS Financial Services Inc. (f/k/a UBS PaineWebber, Inc.) Case Number: 03-03305 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENT

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: CWNiimher- 03-03304 Bane of America Securities, LLC Hiring Site- Washington, DC Richard Mudge and Ilene Mudge Nature of the Dispute: Member vs. Customers x ftF.PRF.SFNTATin>J OF PAttTTF.S Claimant, Bane of America Securities, LLC ("Claimant"), was represented by Dennis P. McGlone, Esq. and Alison E. Goldenberg, Esq., Gordon, Feinblatt, Rothman, Hoffberger &