AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Barrel and Elaine Mielke v. 04-05194 Minneapolis, Minnesota Respondent UBS Paine Webber, Inc. Nature of Dispute: Customers v. Member REPRESENTATION OF PARTIES Barrel and Elaine Mielke ("Claimants") were represented by Harney H. Eckart, Esq., and Amy M. Leonetti, Esq., of Eckart & Leonetti, P.A, St. Paul, Minnesota. UBS Paine Webber, Inc. ("Respondent") w

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Victor E. Anderson, Claimant v. Robert S. DeWitt and Mutual Securities, Inc., Respondents Case Number: 04-05180 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Bernard W. McNallen, Esq. Balsam McNallen, LLP Tacoma, Washington For Respondent Robert S. DeWitt: David W. Silke, Esq. Car

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant/Counter-Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Name of the Respondents/Counter-Claimant Raymond, James & Associates, Inc. and Jay C. Gagne Case Number: 04-05170 Hearing Site: Indianapolis, Indiana Nature of the Dispute: Member vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Merrill Lynch Pierc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05168 John Park Names of the Respondents Hearing Site: Orlando, Florida E*Trade Securities, LLC Kristin C. Lannum Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES John Park, hereinafter referred to as "Claimant", appeared pro se. For E*Trade Securities, LLC ("E*Trade") and Kristin C. Lannum (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kimberly Cavanaugh (Claimant) v. Moors & Cabot, Inc. and Charles White (Respondents) Case Number: 04-05167 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Kimberly Cavanaugh ("Cavanaugh") hereinafter to as "Claimant": James S. Jones, Esq., Poland, Ohio. Respondents, Moors & Cabot, Inc. ("Moors & Ca

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thf* Claimant fla.se Number 04-05166 Erma Bianco Names nf the Respondents Hearing Site* Philadelphia, PA Morgan Stanley DW, Inc. Ty Matthew Wilkinson Nature of the Dispute: Customer vs. Member and Associated Person. RFPRF.SF.NTATTON OF PARTTF.S Claimant, Erma Bianco, hereinafter referred to as "Claimant", was represented by Christopher A. Ferro, Esq., Griest, Him

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Doris Thornton-Scott, Claimant v. Carfton M. Lennon and Mark A. Tabit, Respondents Case Number: 04-05008 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Associated Persons REPRESENTATION OF PARTIES For Claimant: Doris Thornton-Scott In Pro Per Stone Mountain, Georgia For Respondent Cartton M. Lennon: C. William Kircher, Esq. Law Offices of C. Wil

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-00210 Frank Sirico and Barbara Sirico Names of the Respondents Hearing Site: Boca Raton, Florida A.G. Edwards & Sons, Inc. and Jeffrey Sica Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Frank Sirico and Barbara Sirico, hereinafter collectively referred to as "Claimants": John C.

Stipulated Award NASD Dispute Resolution In the Matter of Arbitration Between: ROBERT RODRIGUEZ vs. FIDELITY BROKERAGE SERVICES, LLC Case Number: 04-05002 Hearing Site:: Dallas, Texas Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF THE PARTIES Claimant Robert Rodriquez ("Rodriguez"): Larry M. Lesh, Law Office of Larry M. Lesh 5949 Sherry Lane, Suite 501 Dallas, Texas 75225 Respondent Fidelity Brokerage Services, LLC

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anthony Goncalves (Claimant) vs. Citigroup Global Markets, Inc. and Thomas Nolan (Respondents) Case Number: 04-04998 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Anthony Goncalves hereinafter referred to as "Claimant": Michael A. Stratton, Esq., Stratton Faxon, New Haven, CT. ' Respon