Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between UBS PaineWebber, Inc. Case No. 00-00454 Niirne of Respondents The (Wilson) Williams Financial Group: and Donald F. Garms. Jr. RFPRFSF.JVTATinN OF PARTTKS Claimant UBS PaineWebber. Inc. ("PaineWebber") was represented by Michael D. Lee, Esq., of the firm of Schuyler, Roche & Zwirner, located in Chicago, Illinois. Respondent Donald F. Garms. Jr. ("Garms") represented

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Virginia L. Pulcer and Case Number: 03-02588 Hearing Site: Troy, Michigan Names of Respondents Fidelity Brokerage Services, LLC Fidelity Investments Life Insurance Co., Fidelity Insurance Agency, Inc., Fidelity Brokerage Services, Inc., and Gary M. Pryka NATURE OF DISPUTE Customer v. Member, Non-Members, and Associated Person REPRESENTATIO

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Plaimants Case Number 03-02572 Patricia Mack Paul Mack Name nf thp T?pgponHfint Hearing Site- Charlotte, NC OLDE Discount Brokerage Firm n/k/a H&R Block Financial Advisors, Inc. Nature of the Dispute: Customers v. Member. RF.PRFSFNTATION OF PARTIES Claimants, Patricia Mack and Paul Mack, hereinafter collectively referred to as "Claimants", wer

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02570 Martha H. Farthing, Claimant vs. Quick & Reiily, Inc., Respondent. ATTORNEYS: For Claimant appeared Mathew E. Bates, P.A., Grdeensboro, NC. For Respondent appeared in-house counsel, Casandra P. Cushman, Esq., New York, NY. DATE FILED: April 8, 2003 CASE SUMMARY: Claimant alleged that Respondent breached its fiduciary duty to her, failed to furnish her with a prospectus, permitted a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ellen J. Woliner-Rhoda and Todd Rhoda JT TEN; Ellen Woliner, Inc., Profit Sharing Plan DTD 8/4/89; Ellen Woliner, Inc., Money Purchase Pension Plan; Ellen Woliner- Rhoda IRA; Ellen Woliner-Rhoda c/f Quinn B. Rhoda; and Ellen Woliner-Rhoda c/f Emily Hope Rhoda (Claimants) v. Clearing Services of America, Inc. and Todd Eberhard (Respondents) Case Number: 03-02566 Hearing Site: New Yor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank A. Turek, Jr. (Claimant) v. Joan A. Brown d/b/a R & J Brown Planning (Respondent) Case Number: 03-02564 Hearing Site: Buffalo, New York Nature of the Dispute: Customer v. Associated Person. REPRESENTATION OF PARTIES Claimant Frank A. Turek, Jr. ("Turek") hereinafter referred to as "Claimant": Richard B. Thaler, Esq., Thaler & Thaler, Ithaca, NY. Respondent Joan A. Brow

Award NASD Dispute Resolution In the Matter ot the Arbitration Between: Names of the Claimants Case Number: 03-02562 Robert and Alina Quintana JT TEN Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley DW Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Robert and Alina Quintana JT TEN ("Quintanas"), hereinafter referred to as "Claimants": Wayne Schwartz, Esq., Blum, Silver & Schwartz, LLP, Plant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants William J.Klopf Sybil G. Klopf William J. Klopf, custodian for Kevin M. Klopf William J. Klopf, custodian for Jonathan L. Klopf Names of the Respondents UBS PaineWebber, Inc. as successor in interest to PaineWebber, Inc. David L. Eustis, Jr. Case Number: 03-02558 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02557 Avinash and Poornima Gupta Name of the Respondent Hearing Site: Tampa, Florida J.P. Morgan Invest, LLC f/k/a Brown & Company Securities Corporation Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Avinash and Poornima Gupta, hereinafter referred to as "Claimant": Jerry I. Lefkowitz, Esq., Lake Success, N

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant CISC World Markets Corp. and Case Number: 03-02556 Hearing Site: Houston, Texas Name of Respondent Leo V. Reichle MATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES CIBC World Markets Corp. ("Claimant") was represented by Joseph J. Sullivan, Esq., of Sheindlin & Sullivan, LLP. He replaced Karen E. Byrnes, Esq., as Claiman