NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03009 Solomon Sandel, Claimant v. S. W. Bach & Company, Francis L. Smookler, Jr., and Christopher F. Veale, Respondents ATTORNEYS: For Claimant Solomon Sandel ("Claimant") appeared Karen J. Vanlngen, of Brooklyn Law School Legal Services, Brooklyn, NY. For Respondent S.W. Bach & Company appeared Berton Seltzberg, Esq., S.W. Bach & Company, Port Washington, NY. Respondent Francis L. S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant Case No. 01-00056 Robert W. Hill Names of Respondents Mason Hill & Co., Inc. Adam H. Kaplan Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For Robert W. Hill, hereinafter referred to as "Claimant": John F. Hanzel, Esq. and Dianne M. Cavaliere, Esq., The Office of John F. Hanzel, P.A., Cornelius, North Carolina. Mason Hill

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants The Helen J. Anderson Trust, by its Trustees, Helen J. Anderson and Enid M. Cichowski Case Number: 04-03003 Hearing Site: Chicago, Illinois Morgan Stanley DW, Inc., and Robert L. Foersteriing NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES The Helen J. Anderson Trust, by its Trustees, Helen J. Anderson

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant . Annamaria Newbold and Case Number: .04-03001 Hearing Site: Louisville, Kentucky Respondents UBS Financial Services Inc. f/k/a JC Bradford & Co., George Jeffrey Edds and Richard Henry Wilson ; ; _ NATURE OF CASE Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Annarnaria Newbold ("Claimant") was represented b

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Peter Rogers, (Claimant) vs. Todd M. Eberhard and Jeffrey Paul Cahn (Respondents) Case Number: 04-02999 SITUS: New York, New York NATURE OF DISPUTE: Customer vs. Associated Persons. REPRESENTATION OF PARTIES Peter Rogers ("Rogers") hereinafter referred to as "Claimant": Jeffrey P. Lendrum, Esq., The Lendrum Law Firm, San Diego, CA. Respondent Todd M. Eberhard ("Eberhard") he

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Grace M. Marron and Case Number: 04-02997 Hearing Site: Houston, Texas Names of Respondents A.G. Edwards & Sons, Inc., Robert Louis Rogers, James W. Little, and Patrick Pierre Diorio NATURE OF DISPUTE Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Grace M. Marron ("Claimant") was represented by J. Ronald Vercher,

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Miriam Rothman, Claimant vs. E Street Access, Respondent Case Number: 04-02996 SITUS: Philadelphia, Pennsylvania. NATURE OF DISPUTE: Customer v. Suspended Member. REPRESENTATION OF PARTIES Miriam Rothman, hereinafter referred to as "Claimant", was represented by Douglas Knehr, Esq., Douglas Knehr, LLC, Lawrenceville, New Jersey. Respondent did not enter an appearance in this

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan L. Stickney, Claimant v. E* Trade Securities, LLC and E*Trade Clearing, LLC, Respondents Case Number: 04-02986 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Members REPRESENTATION OF PARTIES For Claimant: Steven M. Cyr, Esq. Legal Representation, LLC Portland, Oregon For Respondents: John Bersin, Esq. E*Trade Securities, LLC Rancho Cordo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stefanos Sertsionas (Claimant) v. UBS Financial Services f/k/a UBS Paine Webber, Inc., Carlos Garcia, Hugh Mcllrevey and David Moran (Respondents) Case Number: 04-02978 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Stefanos Sertsionas ("Sertsionas") hereinafter referred to as "Claima

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Adulis Enterprises, Cafe Adulis, Ltd., and Gideon Gebreyesus (Claimants) v. UBS Paine Webber Inc., Carlos Garcia, Hugh Mcllrevey, and David Moran (Respondents) Case Number: 04-02977 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Adulis Enterprises ("Adulis"), Cafe Adulis, Ltd. ("Ca