Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark Stephen Casady (Claimant) v. Scudder Financial Services, Inc., Scudder Distributors, Inc. and Scudder Investor Services, Inc. (Respondents) Case Number: 03-02442 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person v. Members. REPRESENTATION OF PARTIES Claimant Mark Stephen Casady ("Casady") hereinafter referred to as "Claimant": David J.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS PaineWebber, Inc. (Claimant) v. James N. Passias (Respondent) Case Number: 03-02441 Hearing Site: Columbus, Ohio Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant UBS PaineWebber, Inc. ("PaineWebber") hereinafter referred to as "Claimant": Lisa A. Catalano, Esq., Davidson, Manchel & Brennan, LLP. Respondent James N. Passias ("Passias") he

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01819 Jack E. Cline Martha Cline Names of the Respondents Hearing Site: Atlanta, Georgia Merrill Lynch Kenneth M. Bluestein Jim Sumpter Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jack E. Cline and Martha Cline, hereinafter collectively referred to as "Claimants":

Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Ronald Cherry Sentra Securities Corporation Names of the Respondents Kovack Securities, Inc. Ronald Kovack Richard Fleischner Case Number: 00-04493 Hearing Site: Boca Raton, Florida For Ronald Cherry ("Cherry") and Sentra Securities Corporation ("SSC") hereinafter collectively referred to as "Claimants": Jeffrey A. Winikoff, Esq., and Justin Kam, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01817 Joy D, Vogel Gregory F. Vogei Names of the Respondents Hearing Site: Tampa, FL Wachovia Securities, Inc., f/k/a First Union Securities, Inc. GE Life and Annuity Assurance Co. MarkD. Amos Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joy D. Vogel and Gregory F. Vogel, he

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants , Dr. Donald L. Sween, individually and on ' ' behalf of the Dr. Donald L. Sween IRA Rollover "" ' ' ' 1 'i •• • 1 i - . - ' . ' v. 03-01815 , Minneapolis, Minnesota Respondents ; Prudential Securities, Inc., n/k/a Prudential Equities Group, LLC, and Jeffrey Starkrnan , ( • . " ' i . " - . - . . ' " •

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01813 Linda Flanagan, Claimant vs. Joseph Gunnar & Co. LLC, Respondent. ATTORNEYS: For Claimant appeared Michael S. Press, Esq. of the firm Warner & Scheuerman, New York, NY. For Respondents appeared John E. Lawlor, Esq., Mineola, NY. DATE FILED: March 13, 2003. CASE SUMMARY: Claimant alleged that Respondent handled her RMA account negligently, purchased unsuitable securities on marg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Richard Marcoux and Audrey Marcoux sp Number: 03-01810 Names of the Respondents Southwest Securities, Inc. Signal Securities, Inc. Barbara A. Mutsaers Hearing Site; Washington, DC Nature of the Dispute: Customers vs. Members and Associate*} Person. RHPRRSKNTTATTON OFPARTTRS Claimants, Richard Marcoux and Audrey Marcoux , hereinafter col

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01809 Ronald W. Paulinelli Name of the Respondent Hearing Site: Atlanta, Georgia Morgan Stanley Dean Witter Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Ronald W. Paulinelli, hereinafter referred to as "Claimant": Charles L. Gregory, Esq. and Elizabeth J. McBath, Esq., Arnall Golden Gregory LLP, Atlanta, Georg

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Mary Nehrig Names of the Respondents Roan-Meyers Associates, L.P. Bruce Meyers Peter Chung Case Number: 03-01806 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mary Nehrig, hereinafter referred to as "Claimant": Jason L. Nohr, Esq., Huddleston & Nohr, M