Award NASD Dispute Resolution In the Matter of the Arbitration Between: James R. Carskadon, and MLFP&S FPO James R. Carskadon IRRA, Claimants v. Merrill Lynch Pierce, Fenner & Smith, Inc., Respondent Case Number: 04-03184 Hearing Site: Portland, Oregon Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Robert S. Banks, Jr., Esq. Banks Law Office, P.C. Portland, Oregon For Respondent: Ky Fullerton, Esq. Mi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Simon Goren, (Claimant) vs. Wall Street Equities, Inc., Frank Cullen, and Julian Alvarez, (Respondents) Case Number: 01-00068 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Simon Goren, hereinafter referred to as "Claimant", appeared pro se. Respondents, Wall Street Equities, Inc. ("WSE"), Frank Cullen ("Cullen"), and Julian Alvarez ("Alvarez"), herei

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Lynn-Rose Saltzman Louis C. Saltzman Lynn-Rose Saltzman IRA Marc A. Saltzman and Lynn-Rose Saltzman, JTWROS Names of the Respondents Gunn Allen Financial, Inc. Edward Mosionzhnik a/k/a Ed Moss Case Number: 04-03180 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gilbert R. Sugarman and The Gilbert R. Sugarman ERA Rollover Account (Claimants) v. Warfield Associates, Inc. and Thomas R. Warfield (Respondents) Case Number: 04-03156 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Gilbert R. Sugarman ("Sugarman") and The Gilbert R. Sugarman IRA Rollover Ac

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Huntingdon HomeOwners Corporation and Names of Respondents UBS Financial Services, Inc., and UBS Securities, LLC Case Number: 04-03154 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firms REPRESENTATION OF PARTIES Huntingdon HomeOwners Corporation ("Claimant") was represented by Joseph J. Hroch, Esq., Spencer & Associate

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name nf Claimant David A. Fletcher and Names nf Respondents Wells Fargo Investments, LLC and Tami K. Rovall Case Number: 04-03151 Hearing Location: Houston, Texas NATTTRT? OF THSPITTF Customer v. Member and Associated Person OFPARTTFR David A. Fletcher ("Claimant") .was represented by Leonard L Meyer, Esq. and Nelson Ebaugh, Esq., Zimmerman, Axe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Neil J. Watko nf the Citigroup Global Markets, Inc, f/n/a Salomon Smith Barney, Inc. Lee Oleinick Niimher; 04-03121 Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Neil J. Watko, hereinafter referred to as "Claimant", was represented by Scott Michael

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Wachovia Securities Financial Network, Inc. Name of the Respondent James Caterino Case Number: 04-03111 Hearing Site: Boca Raton, FL Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Wachovia Securities Financial Network, Inc. ("WSFN"), hereinafter referred to as "Claimant": Gregory S. Tendrich, Law Office of Gregor

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeffrey L. Gurian and Marjorie Gurian (Claimants) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., John C. Campeau, and Noah L, Myers (Respondents) Case Number: 04-03107 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Jeffrey L. Gurian ("J. Gurian") and Marjorie Guria

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John W. Rylick, (Claimant) vs. Joseph Charles & Associates, Inc., (Respondent) Case Number: 01-00065 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, John W. Rylick, hereinafter referred to as "Claimant": Eric A. Summerville, Esq., Summerville, Radding & Campbell, Jersey City, NJ. Respondent, Joseph Charles & Associates, Inc., hereinafter referred to as "Re