Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Catherine Helgeson and Chris Helgeson, Claimant, v. Bear Stearns Securities Corporation, National Securities Corporation, Matt Ward, The Ward Group, Maxwell Capital, Inc. and Does 1 to 10, respondents. Case Number: 00-05725 Hearing Site: NA REPRESENTATION OF PARTIES For Claimants, Catherine and Chris Helgeson: Mark Martel, Esq. Palo Alto, California For Respondents,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Harry J. Siwkowski and Judith A. Siwkowski vs. 04-01711 Chicago, Illinois Name of Respondents Jeffery Bobrowicz and Morgan Stanley Dean Witter Inc. Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Harry J. Siwkowski and Judith A. Siwkowski ("Claimants") were represented by Edna Selan Epstein, Esq. of Law off

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01698 Howard Lynn Wisdom and Howard Lynn Wisdom Money Purchase Pension Trust, Predecessor of Howard Lynn Wisdom IRA Rollover, Claimants vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Robin R. Pierce, and Jack B. Grubman, Respondents ATTORNEYS: Claimants Howard Lynn Wisdom and Howard Lynn Wisdom Money Purchase Pension Trust, Predecessor of Howard Lynn Wisdom IRA Rollover

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant C. David Viele, individually and on behalf of his IRA Names of the Respondents Asset Management Securities Corp. Barry Financial Group Case Number: 04-01694 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For C. David Viele, individually and on behalf of his IRA, he

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Howard Wofsy and Ruth Wofsy, Individually and as Trustees Name of the Respondent Morgan Stanley DW, Inc. Case Number: 04-01691 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Claimants Howard Wofsy and Ruth Wofsy, Individually and as Trustees, hereinafter collectively referred to a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard C. Wallace and WIDa Dean Wallace, Claimants v. Morgan Stanley DW Inc., Kathleen Pires Swan, and Wells Fargo Investments, LLC, Respondents Case Number: 04-01678 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES For Claimants: Richard and Willa Dean Wallace ProSe Lake Isabella, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Kristie Fisfis Prewett Number- 04-01672 Names of the Respondents Tiche Capital Strategies., LLC Emmett A. Larkin Company, Inc. Site: Pittsburgh, Pennsylvania Name nf Third-Party Respondent David E. Osaba Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTTFS Claimant Kristie Fisfis Prewett, hereinafter referred to as "Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services, Inc. (Claimant) v. Nicholas Varvitsiotis (Respondent) Case Number: 04-01669 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member v. Customer. REPRESENTATION OF PARTIES Claimant UBS Financial Services, Inc. ("UBS") hereinafter referred to as "Claimant": Anthony J. Borrelli, Esq., Riker, Danzig, Scherer, Hyland & Perretti, LLP, Morristown, NJ.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services, Inc. (Claimant) v. Patience L. Taylor (Respondent) Case Number: 04-01667 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant UBS Financial Services, Inc. hereinafter referred to as "Claimant": Anthony J. Borrelli, Esq., Riker, Danzig, Scherer, Hyland & Perretti, LLP, Morristown, NJ. R

Award NASD Dispute Resolution hi the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-01659 Donald T. Giles, Jr. Cherie L. Giles Names of the Respondent*; Hearing Site- Pittsburgh, Pennsylvania Hefren-Tillotson, Inc. Vincent Ross, Jr. Mark A. Battaline Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants, Donald T. Giles, Jr. and Cherie L. Giles, hereinafter coll