STIPULATED AWARD NASD REGULATION, INC. . X In the Matter of the Arbitration Between: : ROMEO CONTI, : NASDArb.No.: 01-00063 Claimant, : - against - : DRAKE CAPITAL SECURITIES, INC., : EDWARD HAGGERTY, MICHELE D. WESSEL, DANIEL LEVINE, EDWARD : MOLD AVER and PARAGON CAPITAL MARKETS, : Respondents. : REPRESENTATION OF PARTIES Claimant Rorneo Conti ("Claimant") was represented by Michael H. Ference, Esq. of the law firm of Siche

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Suzan J. Shoshan Case Number: 04-03074 Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. John Ury Melvin Schoen Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Suzan J. Shoshan, hereinafter referred to as "Claimant": Scott L. Silver

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Patricia N. Earle Name of the Respondent Wachovia Securities, LLC r 04-03070 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customer vs. Member. RRPRF.SRNTATTON OF PARTTFS Claimant Patricia N. Earle, hereinafter referred to as "Claimant", was represented by A. Daniel Woska, Esq., Woska & Hayes, LLP, Oklahoma City, Oklahoma. Re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03068 Anthony Jack Condon, Claimant v. Advest, Inc. and Charles Machock, Respondents ATTORNEYS: For Claimant Anthony Jack Condon ("Claimant") appeared A. Brian Mclntosh, Esq., of the firm Mclntosh & Mclntosh, P.L.L.C., Cincinnati, OH. For Respondents Advest, Inc. and Charles Machock (collectively "Respondents") appeared Dennis J. Concilia, Esq., Carlile Patchen & Murphy, LLP, Columbus, OH.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: George F. Simms (Claimant) v. Daniel C. Shepler and Susannah Weis (Respondents) Case Number: 04-03059 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Associated Persons. REPRESENTATION OF PARTIES Claimant George F. Sims ("Simms") hereinafter referred to as "Claimant" appeared pro se. Respondents Daniel C. Shepler ("Shepler") and Susannah Weis ("Weis") hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 04-03058 Michael J. and Kathy M. Geiler Name of the Respondent Hearing Site: St. Louis, Missouri Edward D. Jones & Co. T Customers vs. Member Firm 5 * David Mee, Esq. of the law firm Woska & Hayes, LLP, located in Kingwood, Texas represented Claimants, Michael J. and Kathy M. Geiler ("Geiler"), hereinafter collectively referred 'to

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03056 Robin Vaughn Whitney, Claimant v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc., Jack B. Grubman, Sanford I. Weill, and Eric Trilling, Respondents ATTORNEYS: Claimant, Robin Vaughn Whitney, ("Claimant"), appeared Pro Se, Madison, CT. Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Jack B. Grubman, Sanford I. Weill, and Eric Trilling, ("Re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03051 Ron W. Campbell, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: ~~ For Claimant Ron W. Campbell ("Claimant") appeared Celeste M. Chiaramonte, Esq., of the firm Woska & Hayes, LLP, Kingwood, TX. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Alan M. Wolper, Esq., of the firm Sutherland, Asbill & Brennan, LLP, Atlanta, G

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Millard Raymond Miller and Rose Nielsen Miller, Individually and as Trustees of the Millard and Rose Miller Living Trust Case Number: 04-03049 Hearing Site: St. Louis, Missouri Name of the Respondent Stifel, Nicolaus & Co., Inc. Customers vs. Member Firm OF PAPTIFR Steven W. Koslovsky, Esq. of Maryland Heights, Missouri, represented Claimant

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John R. Strachan, Jr., Ellen Pappas, Patricia O'Keeffe, Mary Jo Strachan, Angela Strachan, Frances W. Strachan, Individually and as Co-Trustee of the Strachan Long Term Trust Agreement, and R. Guy Chamberlin as Co-Trustee of the Strachan Long Term Trust Agreement (Claimants) v. UBS Financial Services, Inc., formerly UBS Painewebber, Gerald McGinley, Michael Goss, Nicholas Kel