AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant UBS Financial Services, Inc. and Case Number: 04-00190 Hearing Site: Houston, Texas Name of Respondent Martin E. Guillory, Jr. Member Firm v. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimant" or "UBS Financial") was represented by Laura A. Martin, Esq., of Davidson & Grannum, LLP, in Northvale, New Jersey. Martin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: George B. Schenck, Claimant v. Citigroup Global Markets, Inc. and Paul David Babaz, Respondents Case Number: 04-00183 Hearing Site: Reno, Nevada Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Brad M. Johnston, Esq. Hale Lane Peek Dennison and Howard Reno, Nevada For Respondents: Nancy H. Baughan, Esq. Parke

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Mary S. Plettenberg, on behalf of herself and her deceased husband Frank L. Plettenberg, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Case Number: 04-00180 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Mary S. Plettenberg Pro Se Phoenix, Arizona For Respondent: Joshua D. J

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00176 Stephen M. Hammers, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: Claimant Stephen M. Hammers ("Claimant") appeared pro se, Brentwood, TN. Previously represented by: John E. MacDonald, Esq., of the firm Stark & Stark, P.C., Princeton, NJ. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Alexander Nemiroff, Esq., of the

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas J. Dillon and Karen K. Dillon (Claimants) v. Michael E. Zweig, The Zweig Group, and Merrill Lynch, Pierce, Fenner & Smith, Inc., and Phillip Irvin (Respondents) Case Number: 04-00173 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers v. Member, Non-Member, and Associated Persons,, REPRESENTATION OF PARTIES Claimants Thomas J. Dillon ("T. Dillon") and Kar

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Donald V. Healy, Claimant v. Fletcher and Faraday, Inc., Ben L. Wilson, Kirk J. Graham, and Yury Sapir, Respondents Case Number: 00-05561 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondent Fletcher and Faraday, Inc. For Respondent Ben L, Wilson: For Respondent Kirk J. Graham: For Respondent Yury Sapir: Steven B. Car

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael R. Hembury and Susan L. Hembury (Claimants) vs. Oppenheimer & Co. Inc., and Stanley Wong (Respondents) Case Number: 04-00171 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Michael R. Hembury ("M Hembury") and Susan L. Hembury ("S. Hembury") hereinafter collectively referred to as ("C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jack S. Gilbert and Brena Gflbert, (Claimants) vs. A.G. Edwards & Sons, Inc., Patrick B. Honadle, Anne Catiilai, Bill Branson, Jr., Jon Lawrence, Gail Romano, and Joe KJarberg, (Respondents) Case Number: 99-05350 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimants, Jack S. Gilbert ("J. Gilbert") and Brena Gilbert (*B. Gilbert"), hereinafter collectively ref

Award NASD Dispute Resolution In the Matter of the Arbitration Between: National Securities Corporation, Claimant/Counter-Respondent v. Martyn A, Powell, Respondent/Counter-Claimant Case Number: 99-05348 Hearing Site: Seattle, Washington For Claimant/Counter-Respondent: Patrick L. Hinton, Esq. Hinton & Roth Seattle, Washington For Respondent/Counter-Claimant: John A. Bender, Esq. Holland & Knight Seattle, Washington CASE INFORMATION

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James J. Striegel and Terri Striegel, Claimants Vs. Bear Stearns & Co., Inc., William McBee and William Vincent Swisher Respondents. Case Number: 99-05345 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimants, James J. Striegel and Terri Striegel, hereinafter referred to as "James and Terri Striegel" were represented by Robert E. Goodman, Esquire, Att