Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01201 Violet V. Garry-Chiulli, individually and on behalf of the Violet V. Garry IRA Rollover Account Names of the Respondents Hearing Site: Tampa, Florida UBS Financial Services, Inc. Arthur S. Day Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION QF PARTIES For Violet V. Garry-Chiulli, indiv

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary E. Powell Irene L. Rind Estate of Marguerite Pickett Number 04-01199 Names nf the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Bradley L.Cottrill Edith Wernick Site- Baltimore, Maryland Nature of the Dispute: Customers vs. Member and Associated Persons. PFPRFSRISJTATTON OF Claimants, Mary E. Powell ("Powell"), Irene L. Rind ("Rind")

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kevin M. Kyle and Crystal A. Kyle, Claimants v. Round Hill Securities, Inc. and William H. Wilkinson m, Respondents Case Number: 04-01197 Hearing Site: Portland, Oregon Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Robert Bertsch, Esq. Bertsch & Associates Port Washington, New York For Respondents: An

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01191 Ehrenkrantz King Nussbaum, Inc., Claimant vs. Henry Osorio, Respondent. ATTORNEYS: For Claimant, Ehrenkrantz King Nussbaum, Inc., ("Claimant"), appeared Michael S. Colombo of the firm Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent, Henry Osorio, ("Respondent") did not submit a response to the Statment of Claim. NATURE OF DISPUTE: Member vs. Associated Person. DATE

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants) Peggy Cervantes and 00-05666 Dallas, Texas Name of Respondent(s) RBC Dain Rauscher Inc., Randall B. Edwards, Sr., Candise Edwards Cowley and David L. Zimmerman REPRESENTATION OF PARTIES Peggy Cervantes ("Claimant") was represented by Jeff Poster, Esq. of the Zisman Law Firm, Dallas, Texas. RBC Dain Rauscher Inc. ("Dain Rauscher"), Randal

iN/VSD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01190 Ehrenkrante King Nussbaum* Inc., Claimant v. Evan Esposito, Respondent ATTORNEYS: ~™ ~ . ~ "" For Claimant Ehrenkrantz King Nussbiiura, Inc. ("Claimant") appeared Michael 5. Colombo, of Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. .Respondent Evan Esposito ("Respondent*') appear^ pro $e* StonybrooJk, NY. NATURE OF DISPUTE: Member v. Associated Person, DATH PILED: Febj^ar

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-01182 Terrence E. Wells and Patricia A. Wells Names of the Respondents Hearing Site: Philadelphia, Pennsylvania SunAmerica Securities, Inc., Shane & Associates Craig R. Koller. Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Terrence E. Wells and Patricia A. Wells, herein

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01179 James Brotherton, Sr., Claimant v. Morgan Stanley DW, Inc. and Keith J. Storms, Respondents ATTORNEYS: Claimant James Brotherton, Sr. ("Claimant") appeared pro se, Daytona Beach, FL. For Respondents Morgan Stanley DW, Inc. and Keith J. Storms (collectively "Respondents") appeared Doreen S. Young, Esq., in-house counsel, Morgan Stanley DW, Inc., Sarasota, FL. Previously represented by

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01178 Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., David D. Mumford, and Felipe A. Luna, Claimants v. John J. Bazzone, Respondent ATTORNEYS: For Claimants Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., David D. Mumford, and Felipe A. Luna (collectively "Claimants") appeared Kent B. Frazer, Esq,, of the firm Boose Casey Ciklin Lubitz Martens McBane & O'Co

Award NASD Dispute Resolution In the Matter of the Arbitration Between: J.P. Turner & Company, LLC (Claimant) v. Raffaele Gambardella and Phil Michals (Respondents) Case Number: 04-01176 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Persons. REPRESENTATION OF PARTIES Claimant J.P. Turner & Company, LLC ("J.P. Turner") hereinafter referred to as "Claimant": Martin S. Cole, New York, NY. Previously represented by: Micha