Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: William C. Mitchell and Roseann Mitchell (Claimants) v. Butler Wick & Co., Inc and Marc Presley (Respondents) Case Number: 04-01522 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants William C. Mitchell ("William Mitchell") and Roseann Mitchell ("Roseann Mitchell") hereinafter collectively

Award NASD Dispute Resolution In the Matter of the Arbitration Between: "Nathe rif the rrlai Edward Giles Wilson Names nf the Respondents Merrill Lynch, Pierce, Fermer & Smith, Inc. Kenneth Nelson Vostal Case Number- 04-01521 Hearing Site- Richmond, Virginia Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRF.SF.NTATTON OF PARTIES Claimant, Edward Giles Wilson, hereinafter referred to as "Claimant", was represented b

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01520 Gloria F. Watson Name of the Respondent Hearing Site: Boca Raton, Florida Salomon Smith Barney, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Gloria F. Watson, hereinafter referred to as "Claimant": D. Daxton White, Esq., Dickenson, Murphy, Rex and Sloan, Boca Raton, Florida. For Salom

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Fred E. Kniazynski Mercedes De Kniazynski Names of the Respondents UBS PaineWebber, Inc. Carlos Weissenberg Case Number: 04-01519 Hearing Site: San Juan, Puerto Rico Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Fred E. Kniazynski and Mercedes De Kniazynski, hereinafter collectively r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01517 Raymond James Financial Services, Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Barry Corker Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Raymond James Financial Services, Inc., hereinafter referred to as "Claimant": Leslie A. Reese, Assistant Corporate Counsel, Raymond James Financ

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant/Counter-Respondent Stifel Nicholas & Company, Inc. v. 04-01515 Denver, Colorado Respondent/Counter-Claimant Stephen W. Powell and Third-Party Claimant Stephen W.Powell v. Third-Party Respondent Alan Stevens Nature of Dispute: Member v. Associated Person; Associated Person v. Member and Associated Person v. Associated Person

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dennis Schack, (Claimant) vs. Salomon Smith Barney Inc., (Respondent) Case Number: 00-05703 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Dennis Schack, hereinafter referred to as "Claimant": Alan J. Tauber, Esq., Slade & Associates, P.C., New York, NY. Respondent, Salomon Smith Barney Inc., hereinafter referred to as "Respondent": James H. McQuade,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants 04-01514 Chicago, Illinois Name of Respondent UBS Financial Services Inc. f/k/a UBS Paine Webber, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Sander Stagman ("Claimant") or ("Sander") and Frances Goldberg (deceased). Sander Stagman appeared pro se. UBS Financial Services Inc. f/k/a UBS PaineWebber, Inc. ("Respondent") w

STIPULATED AWARD NASD DISPUTE RESOLUTION SUSAN W. BAKER and MAAS, LTD Claimants, AND Respondents. NASD Case No. 04-01513 Hearing Site: Dallas, Texas NATURE OF THE DISPUTE Public Customers v. Member Firm and Associated Person Claimants SUSAN W. BAKER and MAAS, LTD: Robert Tobey, Esq., Johnston & Tobey, P.C., 710 Founders Square, 900 Jackson Street, Dallas, Texas 75202. Respondent AXA ADVISORS, LLC ("AXA"): Thomas R. Cox, Miller, Canfield,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norman Caris, Claimant v. A.G. Edwards & Sons, Inc., Respondent Case Number: 04-01510 Hearing Site: Honolulu, Hawaii Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Mark T. Kobata, Esq. Barlow, Kobata & Denis Los Angeles, California For Respondent: Nuviah Shirazi, Esq. A.G. Edwards &< Sons, Inc. St. Louis, Missouri CASE