Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas D. Wittkopf and Marie T. Wittkopf (Claimants) v. UBS Financial Services, Inc. f/k/a UBS Paine Webber, Inc. and Howard Pirwitz (Respondents) Case Number: 04-01017 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Thomas D. Wittkopf ("T. Wittkopf) and Marie T. Wittkopf ("M. Wittkopf) hereinaft

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Albert Roth (Claimant) v. Morgan Stanley Dean Witter and David Norman (Respondents) Case Number: 04-01011 Hearing Site: Buffalo, New York Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Albert Roth ("Roth") hereinafter referred to as ("Claimant"): Joanne A. Schultz, Esq., Williamsvilie, NY. Respondents Morgan Stanley Dean Witter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Monarch Financial Corporation of America (Claimant) v. Brian Schnabolk (Respondent) Case Number: 04-01010 Hearing Site: New York, New York Nature of the Dispute: Member Firm v. Associated Person REPRESENTATION OF PARTIES Claimant Monarch Financial Corporation of America hereinafter referred to as "Claimant": Charles M. O'Rourke, Esq., Woodbury, NY. Respondent Brian Sehnabolk her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Catherine A. Minardo Trust, Catherine A. Minardo, Trustee, Thomas Minardo, and Catherine Minardo (Claimants) v. McDonald Investments, Inc. and Thomas Jewett (Respondents) Case Number: 04-01008 Hearing _Site: Cleveland, Ohio Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Catherine A. Minardo Trust, Catherine A. Minardo, Trus

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Wachovia Securities, Inc. r; 04-01007 a nf the Respondents Uzo O. Chima SunTrust Securities, Inc. mg-Site! Washington, D.C. Nature of the Dispute: Member vs. Member and Associated Person. OF PAKTIES Claimant, Wachovia Securities, Inc. ("Wachovia"), hereinafter referred to as "Claimant", was represented by John MacDonald, Esq., Stark & Stark,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ]Sfa me of tfift Claimant ' ' Charles S. Martin, Jr. ames of the Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Michael Patrick Spolar Pase Number 04-01004 Hearing Site- Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. KF.PRFSRNT ATiniN OF PARTIES Claimant, Charles S. Martin, Jr., hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Wachovia Securities, LLC Pase Number: 04-01003 Name of the Respondent Scott I. Martin Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. Claimant, Wachovia Securities, LLC, hereinafter referred to as "Claimant'', was represented by Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, Arlington, Virginia.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Bell Family Trust Names nf the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Mark K. Fischer Case Number 04-01000 Hearing Site- Raleigh, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. » REPRESENTATION OF PARTIES Claimant, Bell Family Trust, hereinafter referred to as "Claimant", was represented by C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: g r!lfljmanf Pagp "MnrnKgr* 04-00999 Brenda Hauck Name nf the Respondent Hearing Site- Charlotte, North Carolina Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. RFPRFSF1STTATTON OF PARTTFS Claimant, Brenda Hauck, hereinafter referred to as "Claimant", was represented by Jeffrey B. Musslewhite, Woska, Hayes, L.L.P., Kingwood, Texas and

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Andrew Steinke, (Claimant) vs. Boston Mutual Sales Corp., (Respondent) Case Number: 00-05644 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Andrew Steinke, hereinafter referred to as "Claimant": John N. Greenwood, Esq., a sole practitioner, Brookline, MA. Respondent, Boston Mutual Sales Corp., hereinafter referred to as "Respondent": Henry T. Goldm