NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01106 James GoldmanIRRA, Claimant v. UBS Financial Services, Inc. f/k/aUBS PaineWebber, Inc., Respondent. ATTORNEYS: Claimant, James Goldman IRRA, ("Claimant"), appeared pro se, Los Angeles, CA. Respondent, UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc., ("Respondent"), appeared through its in-house counsel, Diana L. Carbonell, Esq., Weebawkeo, NJ. NATURE OF DISPUTE: Customer v

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01105 Richard Giles IRRA FBO Richard Giles, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Richard Giles IRRA FBO Richard Giles, ("Claimant"), appeared Wm. Jemison Minis, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eli Epstein and Laurie Bilger (Claimants) v. Chase Investment Services Corp., J.P. Morgan Chase Bank, and David Ferman (Respondents) Case Number: 04-01104 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member, Non-Member, and Associated Person REPRESENTATION OF PARTIES Claimants Eli Epstein ("Epstein") and Laurie Bilger ("Bilger") hereinafter collectively referr

STIPULATED AWARD NASD Dispute Resolution In the Matter of Arbitration Between Name of Claimant Legg Mason Wood Walker, Inc. and Name of Respondent David Ray Rodriguez Case Number: 04-01097 Hearing Site: Houston, Texas NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Legg Mason Wood Walker, Inc. ("Claimant" or "Legg Mason") was represented by Gretchen L. Klebasko, Esq., Legg Mason Wood Walker, Baltimore

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant UBS Financial Services, Inc. and Case Number: 04-01096 Hearing Site: Houston, Texas Name of Respondent Thomas B. Sanchez, Jr. NATURE QF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimant" or "UBS Financial") was represented by Laura Martin, Esq., of Davidson & Grannum, LLP, of Northvale, New

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant SSIHM Charitable Trust and Names of Respondents First Affirmative Financial Network, LLC and Brandes Investment Partners, LLC Case Number: 04-01093 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Non-Members with contracts to arbitrate REPRESENTATION QF PARTIES SSIHM Charitable Trust-("Claimant") was represented by Gary M. Sar

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants The Richard Dale Relyea Limited Partnership, Dennis R. Latimer, and Christie A. Latimer. Case Number: 04-01092 Names of Respondents Hearing Site: Houston, Texas Donaldson Lufkin & Jenrette Securities Corp. and Richard H. Thompson NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants, Richard Dale R

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Milton Straus, (Claimant) vs. Josephthal & Co., Inc. and Adam DeMario, (Respondents) Case Number: 00-05654 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Milton Straus, hereinafter referred to as "Claimant": Robert A. Recio, Esq., Gallo Geffner Fenster, P.C., Paramus, NJ. Respondent, Josephthal & Co., Inc. ("Josephthal"): John Bersin, Esq., Associate Gene

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Patricia Dickey and Gordon Dickey and Case Number: 04-01090 Hearing Site: Troy, Michigan Respondents H&R Block Financial Advisors, Inc. and Richard D. Gurchak NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Patricia Dickey and Gordon Dickey ("Claimant") was represented by Anthony V. Trogan, Esq., and Lysa Postula

STIPULATED AWARD NASD Dispute Resolution in the Matter of the Arbitration Between: Claimant Lawrence M. Stankiewicz and Respondents Case Number: 04-01088 J.J.B. Milliard, W.L Lyons and Hearing Site: Troy, Michigan William Joseph Konchal NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Lawrence M. Stankiewicz ("Claimant") was represented by Anthony V. Trogan, Esquire and Lysa Postula-Stein, Esquire, We