Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cynthia Roney and David Maywalt, Claimants v. Raymond James Financial Services, Inc. and Howard R. Polen, Respondents Case Number: 04-08383 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Richard D. Brady, Esq. Tacoma, Washington For Respondents: Jerrod B. Smith, Esq. Tate

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Albert and Elsie Bertalmio and 04-08366 Chicago, Illinois Name of Respondent Ameritrade, Inc nka J.P. Securities Inc Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Albeit and Elsie Bertalmio ("Claimants") were represented by Albert Bertalmio, Elmhurst, Illinois. Ameritrade, Inc. nka J.P. Securities Inc. ("Respondent") was repre

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08354 Laura L. Leets, Claimant v. UBS Financial Services, Inc. f/k/a PaineWebber, Inc., Respondent ATTORNEYS: Claimant Laura L. Leets ("Claimant") appeared pro se, Los Angeles, CA. For Respondent UBS Financial Services, Inc. f/k/a PaineWebber, Inc. ("Respondent") appeared Payne L. Templeton, Esq., in-house counsel, UBS Financial Services, Inc., Los Angeles, CA. NATURE OF DISPUTE: Customer vs

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles W. and Ruth M. Scott (Claimants) vs. Salomon Smith Barney d/b/a Citigroup Global Markets, Inc., and Alan Paul Weilacher (Respondents) ..; Case Number:04-08351 Hearing Site: Cleveland, Ohio. Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Charles W. Scott ("C. Scott") and Ruth M. Scott ("R. Scott") hereinafter collectively

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case Number: 04-08347 Robert R. Manfredi Robert T. Manfredi, IRA Carol A. Manfredi Names nf flip 7? PspnnHCTits Hearing Site- Baltimore, MD Merrill Lynch, Pierce, Fenner & Smith, Inc. Robert W. Costos Leo J. Kelly, ffl Nature of the Dispute: Customers vs. Member and Associated Persons. RF.PRFSFNTATION OF PARTIF.S Claimants, Robert R. Manfre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: riflimant fflgRNimihfy 04-08343 Henry T.Grubbs, Jr. ; nf thft ftpcprmrtentg Hearing Site* Pittsburgh, Pennsylvania Morgan Stanley DW, Inc. Michael Joseph Condron Nature of the Dispute: Customer vs. Member and Associated Person. RFPPFSFNTATTON OF PARTIES Claimant, Henry T. Grubbs, Jr., hereinafter referred to as "Claimant* 1 , was represented by Michael J. Betts,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant . . Cast* Number 04-08342 ' Donald M. Sherk Names nf the Respondents Hearing Site! Philadelphia,.PA Edward D. Jones & Co., L.P. Robert William Lowrie Nature of the Dispute: Customer vs. Member and Associated Person. RKPRF.SFNTATION OF PARTIFS i Claimant, Donald M. Sherk, hereinafter referred to as "Claimant", was represented by Joseph C. Korsak,

Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: PaineWebber, Inc., (Claimant) vs. Albert Rabizadeh, (Respondent) vs. Melinda Abood (Third Party Respondent) Case Number: 01-00384 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, PaineWebber, Inc., hereinafter referred to as "Claimant": Lisa A. Catalano, Esq., Davidson, Manchel and Brennan, LLP, Northvale, NJ (formerly associate with the Law Offices

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Catherine Madonia, Claimant Case Number: 04-08334 v. Hearing Site: St, Louis, Missouri NatClty Investments, Inc. and Michael S. Boyd, Respondents. NATURE QF T Customer vs. Member Firm and Associated Person REPRESETATIO F ARTIES Claimant, Catherine Madonia ("Madonia"), hereinafter referred to as "Claimant" : Bruce Oakes, Esq. and Richard B. Fosher, Esq., Oakes

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants: William Gregory Cavin and William Boyer Gavin and Name of Respondent Merrill Lynch, Pierce, Feriner & Smith, Inc. Case Number: ,04-08333 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers V. Member Firm F PARTIES , ,, • • i William Gregory Cavin and .William Boyer Qavin ("ClaJmantjB 1 '') were represen^d by Kirk G. Smith,