Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00880 Anthony DePasquale Name of the Re_spondent Hearing Site: Tampa, Florida Prime Capital Services, Inc. Nature of the Dispute: Customer vs. Member Finn. REPRESENTATION OF PARTIES Anthony DePasquale ("DePasquale"), hereinafter referred to as "Claimant", appeared pro se. For Prime Capital Services, Inc. ("Prime Capital"), hereinafter ref

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00873 Richard D. and Ella B. Sanders, Claimants v. Carl B. Dickson, Jr. and Elwood G. Glass, III, Respondents. ATTORNEYS: Claimants, Richard D. and Ella B. Sanders, ("Claimants"), appeared pro se, Ashland, VA. For Respondents, Carl B. Dickson, Jr. and Elwood G. Glass, III, ("Respondents"), appeared Ricardo J. Nunez, Richmond, VA. NATURE OF DISPUTE: Customers v. Associated Persons DAT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rose Marie A. Belinskey, Claimant v. U.S. Bancorp Piper Jaflray, Inc. and William H. Lockwood, Respondents -^ Case Number: 03-00871 Hearing Site: Portland, Oregon * Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Mark E. Griffin, Esq. Griffin McCandlish Portland, Oregon For Respondents: Robert J. Bocko, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00870 Judith A. Clink . , The Judith A. Clink IRA »• Names of the Respondents Hearing Site: Tampa, Florida The Holland Group H , ' " Steven L. Holland Nature of the Dispute: Customer v. Non-Member Firm and Associated Person. REPRESENTATION OF PARTIES For Judith A. Clink and The Judith A. Clink IRA, hereinafter c

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number 03-00867 Gayle A. Williams Gayle A. Williams IRA Gayle A. Williams Roth IRA Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley Dean Witter Robert Bruce Baird Nature of the Dispute: Customer vs. Member Firm and Associated Person. REPRESENTATION OF PARTIES For Gayle A. Williams, Gayle A. Williams IRA,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 03-00864 The Esper A. Petersen Foundation and The Edgar Petersen Trust Name of the Respondents Hearing Site: Chicago, Illinois Morgan Stanley Dean Witter and Richard Welton NATURE OF THE DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Thomas Hargett, Esq., and Andrew J. Stoltmann, Esq., of the firm Maddox

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant UBS Financial Services, Inc. and Name of Respondent Mark Howell Case Number: 03-00862 Hearing Site: Houston, Texas NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimant" or "UBS Financial") was represented by Deborah Gottlieb, Esq., of Davidson, Manchei & Brennan, LLP, of Northvale

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Arcadia Mutual Fund, Inc., (Claimant) vs. First Madison Securities, Inc., Ray Vahab, and Jonathan Bull, (Respondents) Case Number: 00-04395 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Arcadia Mutual Fund, Inc., hereinafter referred to as "Claimant": Ethel Schwartz, Brooklyn, NY. Respondents, First Madison Securities, Inc. ("FMS"), Ray Vahab ("Vahab

Award NASD Dispute Resolution In the Matter of the Arbitration Between: P.E. Kahn Family Trust UTD 10/06/88 Paulette E. Kahn TTEE and Paulette E. Kahn TTEE Pabran Inc. Defined Benefit Pension Plan U/A DTD 08/26/86, Claimant v. Presidential Brokerage, Inc. and Michele G, Savarese, Respondents Case Number: 03-00859 Hearing Site: San Diego, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claiman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anthony C. Scala (Claimant) v. Barclays Capital (Respondent) Case Number: 03-00854 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Anthony C. Scala ("Scala") hereinafter referred to as "Claimant": Robert M. Rosen, Esq., Rosen, Leff Attorneys, Hempstead, NY. Respondent Barclays Capital ("Barclays") hereinaft