Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Ted Kolwicz, Jr. Case No. 01-00439 Name of Respondent Ameritrade, Inc. Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Ted Kolwicz, Jr. hereinafter referred to as "Claimant": Steven J. Gard, Esq. of Page Gard Smiley & Bishop LLP, Atlanta, Georgia. For Ameritrade, Inc., ("Ameritrade") hereinafter referred to as "Respondent": James J.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard C. Flegenheimer (Claimant) vs. Prudential Equity Group f/k/a Prudential Securities, Inc. (Respondent) CaseNumber:05-00336 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Richard C. Flegenheimer ("Flegenheimer") hereinafter referred to as "Claimant": W. Alexander Melbardis, Esq., Law Offices of W. Alexander Me

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mavis L. Walters, Claimant, v. Edward D. Jones & Co. L.P. d/b/a Edward Jones and Ronald R. Covington, Respondents. Case Number: 05-00334 Hearing Site: Indianapolis, Indiana Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Mavis L, Walters ("Walters"), hereinafter referred to as "Claimant": David E. Bailey, Esq. of Eil

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-00322 Thomas and Phyllis Cote Names of the Respondents Hearing Site: Boca Raton, Florida A.G. Edwards & Sons, Inc. Charles Pascarella, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Thomas and Phyllis Cote, hereinafter referred to as "Claimants": Lonnie K. Martens, Esq., The Martens

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-00318 Thomas Devere Name of the Respondent Hearing Site: Boca Raton, Florida Sterling Financial Investment Group, Inc. Nature of the Dispute; Associated Person vs. Member. REPRESENTATION OF PARTIES For Thomas Devere, hereinafter referred to as "Claimant": Delmer C. Gowing, III, Esq., Ocean Ridge, Florida. For Sterling Financial Investment

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Janice Davis #k/a Janice Needles, Claimant v. Morgan Stanley DW, Inc. and Mark B. Schumaker, Respondents Case Number: 05-00308 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Barry Kirschner, Esq. Waterfall, Economidis, CaldwelL, Hanshaw, & Villamana, P.C. Tucson, Arizona For Respo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fiserv Securities, Inc. (Claimant) v. Gary DeDilectis and Robert Aurigemma (Respondents) Case Number 05-00298 Hearing Site- New York, NY Nature of the Dispute: Member vs. Associated Persons. RFPRF.SF.NTATTON OF PARTIES Claimant Fiserv Securities, Inc. ("Fiserv"), hereinafter referred to as "Claimant": Wendy H. Schwartz, Esq., Becker, Glynn, Melamed & Muffly LLP, New York,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Florence R. Carunchio (Claimant) vs. American Express Financial Advisors, Inc. (Respondent) Case Number: 05-00297 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Florence R. Carunchio ("Carunchio") hereinafter referred to as "Claimant": Matthew .V. Bartle, Esq., Bartle & Marcus, LLC, Kansas City, MO. Previously

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant UBS Financial Services, Inc. and Case Number: 05-00284 Hearing Site: Oklahoma City, Oklahoma Name of Respondent William S. Foster 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., Davidson & Grannum, LLP, Orangeburg, New

Stipulated Award NASD Dispute Resolution In the Matter ot the Arbitration between: Names of the Claimants Case Number: 01-00437 Barry M. and Rochelle Sinrod Names of the Respondents Hearing Site: Boca Raton, Florida Bradford A. Miller Benson York Group, Inc. Michael H. Caldera Gregory Goldstein Steven J. Cohen Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Barry M. and Rochelle Sinrod