Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tai Joon Jang and Teresa Jang, Claimants v. Daehan Securities, Inc., Yong Soo Kim, and Young Jin Lee, Respondents Case Number: 01-01215 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants Tai Joon Jang and Teresa Jang: For Respondent Daehan Securities, Inc.: For Respondent Yong So

Mar-03-05 11:31 am From-Washinrto* Collto of Lav 2022744130 T-321 P-003 Mil i t ! Stipulated Award j NASD Dispute Resolution Infhe Matter of the AiiftiatkmBrtnreen: Cayi NiimhfiC 03-02391 SopbfeLul HearingJiiite: Washington, D.C Peter J.Kusso, Jr. Nature of the Dispute: Customer < vs, Member and Associated Person. Viigiina Sophie Lul ("CiaiiDanf % was lepreseuted by John P. ConaoQy, Esq., Atexandrie, Respondents, MexrBl Lynch, Pierce.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02388 Empire Financial Group, Inc. Name of the Respondent Hearing Site: Orlando, Florida Kami Yosefian Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For Empire Financial Group, Inc., hereinafter referred to as "Claimant": William M. Rishoi, Esq. and Philip J. Snyderburn, Esq., Snyderburn, Rishoi & Swann, Orlando, F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02387 Garrick J. Lynch Names of the Respondents Hearing Site: Tampa, Florida O. Ray Gussler Vicky Brann J. Patrick Wheeler Raymond James Financial Services, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Garrick J. Lynch, hereinafter referred to as "Claimant", appeared pro se.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William L. Freund and Joann M. Freund, William L. Freund IRA, and Joann M. Freund IRA, Claimants v. Dennis P. Bloom and Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondents Case Number: 03-02386 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: David J. Lenci, Esq. Cabrelle M

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Maria Rudelli (Claimant) v. RBC Dain Rauscher, Inc, and Paul E. Butler (Respondents) Case Number: 03-02373 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION QF PARTIES Claimant Maria Rudelli ("Rudelli") hereinafter referred to as "Claimant": Sameer Rastogi, Esq., Sichenzia Ross Friedman Ference, LLP, New York,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Athena Ploumis (Claimant) v. The Thompson Group, Inc. and Allen L. Thompson (Respondents) Case Number: 03-02370 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Athena Ploumis ("Ploumis") hereinafter referred to as "Claimant": Donovan L. Wickline, Esq., Brooklyn, NY. Respondents The Thompson

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Karim Abukhadra (Claimant) v. UBS Financial Services, Inc. f7k/a UBS Paine Webber, Inc. (Respondent) Case Number: 03-02369 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Karim Abukhadra ("Abukhadra") hereinafter referred to as "Claimant": David B. Gordon, Esq., Schoeman, Updike & Kaufman, LLP, New York, NY. Res

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Iran Moosiki, Claimant v. UBS Financial Services Inc. f/k/a UBS Paine Webber Inc., Lynne L. Thompson, and Michael Connole, Respondents Case Number: 03-02366 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Michael Roofian, Esq. Michael Roofian & Associates, P.C. Los Angel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Relyea Trust (Claimant) v. Ameritrade, Inc. n/k/a J.P. Securities, Inc. (Respondent) Case Number: 03-02360 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant The Relyea Trust ("The Relyea Trust") hereinafter referred to as "Claimant" appeared pro se through Michael J. Relyea, FPO AP 96379. Respondent Ameritrade, Inc