Award NASD Dispute Resolution In the Matter of the Arbitration Between: .nf ffrf ffcimants Ca5gJ^lJm h * r ' 03-01303 Pruco Securities Corporation and The Prudential Insurance Company of America _nf thf.RpsprmHgntQ Hearing=Siis: Milwaukee, Wisconsin Paul T. Tourville, Peter Tourville, Brent Landowski, John Jonas and Brian Peterson Claimants Pruco Seburities Corporation ("PSC") and The Prudential Insurance Company of America (

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Pedro Jimenez, Sr. Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Willi am F. Dodge Lisa Kaye Howard Guggenheim Paul J. Abrams Case Number: 03-01301 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Narpe of the Claimant Samuel Karavan Names nf the Respondents Janney Montgomery Scott, LLC Will Tickner William Schmidt Ryan Tickner Number- 03-01300 Hearing Sifo: Philadelphia, PA Nature of the Dispute: Customer v. Member and Associated Persons, RRPRF.SKNTATION OF PARTIES Claimant, Samuel Karavan, hereinafter referred to as "Claimant'Ywas represented by Paul

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lester N. Himel and Maxcor Financial Inc., (Claimants) vs. Creditex, Inc., (Respondent) Case Number: 03-01296 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Lester N. Himel ("Himel") and Maxcor Financial Inc. ("Maxcor"), hereinafter collectively referred to as "Claimants": Simon Miller, Esq., Greenberg Traurig, LLP, New York, NY. Respondent, Creditex, Inc.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01292 UBS PaineWebber Inc., n/k/a UBS Financial Services Inc., Claimant vs. Jonathon Stanley, Respondent. ATTORNEYS: For Claimant appeared Lisa A. Catalano, Esq. of the Law Offices of Davidson, Manchel & Brennan, LLP, Northvale, NJ. Respondent did not respond to the Statement of Claim. DATE FILED: February 21, 2003 CASE SUMMARY: Claimant alleged that Respondent has failed to repay mo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anthony Catapano (Claimant) vs. Charles Schwab & Co., Inc. (Respondent) Case Number: 03-01288 Hearing Site: New York, New York Nature of Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Anthony Catapano ("Catapano"): Richard J. Babnick Jr., Esq., Sichenzia Ross Friedman, Ference, LLP, New York, NY Respondent, Charles Schwab & Co., ("Schwab"): Brandon K. Hemley, E

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants) Ruth Clemmons and Paul Clemmons and 00-04454 Kansas City, Missouri Name of Respondents) Quest Capital Strategies, Inc. Matthew Mikesch REPRESENTATION OF PARTIES Ruth Clemmons and Paul Clemmons ("Claimant") were represented by Stuart R. Berkowitz, Esq., Platke and Berkowitz, L.L.P., St. Louis, Missouri. Quest Capital Strategies, Inc. ("Resp

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Names of the Claimants Case Number: 03-01278 Clarence Donald Schulze, IRA Clarence Donald Schulze Constance R. Schulze Ten Comm Clarence Donald Schulze Constance R. Schulze JTCOM Names of the Respondents Hearing Site: Boca Raton, FL Janney Montgomery Scott UBS/PaineWebber, Inc. Michael Gomberg Nature of the Dispute: Customer vs. Member and Associated P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Jorge Karpati and Ana Maria Davies Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. a/k/a Merrill Lynch Montevideo, S. A. Case Number: 03-01274 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer v. Member Firm. REPRESENTATION OF PARTIES For Jorge Karpati ("Karpati") and Ana Maria Davies ("Davies"), hereinafter coll

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Susan Inwald and the Susan Inwald Irrevocable Trust and Case Number: 03-01269 Hearing Site: Southfield, Michigan Names of Respondents Prudential Equity Group, LLC Pruco Securities Corp. Michael D. Krane Prudential Securities, the Prudential Insurance Co. of America, Pruco Life Insurance Company, and Pruco Life Insurance NATURE OF DISPUTE