Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00405 Raymond James Burleigh IRA Names of the Respondents Hearing Site: New Orleans, Louisiana Earl Jude Delahoussaye Jon Andrew Delahoussaye New York Life Insurance Company (New York Life Securities, Inc.) Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Raymond James Burleigh IRA ("Burl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Joseph D. Parish, Jr., individually, and as General Partner of the Parish Family Limited Partnership Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 03-00404 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Joseph D. Parish, Jr., individually, and as

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00403 Michael A. Freedland Marilyn Freedland Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Robert Smith Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Michael A. Freedland and Marilyn Freedland, hereinafter collectively referred to as "Cl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00402 Michael A. Bloom Judy Bloom Name of the Respondent Hearing Site: Tampa, Florida UBS PaineWebber, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Michael A. Bloom and Judy Bloom, hereinafter collectively referred to as "Claimants": Stephen A. Baker, Esq., St. Pete Beach, Florida. Fo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scott A. Baden, M.D., individually and as trustee of the Baden Family Trust, and Arlene Baden, individually and as trustee of the Baden Family Trust, Claimants v. Citigroup Global Markets Inc. Fk/a Salomon Smith Barney Inc., Joseph J. Schirripa, and Madeleine A. Antekelian, Respondents Case Number: 03-00396 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riamrant Casa Nnmher 03-00392 Levin E. Taylor Trust Names nf the Rf gpfmHpnts Hearing Site' Washington, DC Deutsche Bank Securities, Inc. C.Ryan Smith Nature of the Dispute: Customer vs. Member and Associated Person. RFPRFRRNTATTON OF PARTTF.S Claimant, the Levin E. Taylor Trust ('"Claimant"), was represented by W. Scott Greco, Esq., Greco & Greco, P.C., McLe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Robert Burns v. 03-00389 Minneapolis, Minnesota Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and John P. Horan Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Robert Burns ("Claimant") was represented by Matthew T, Boos, Esq., of Fredrickson & Byron, P.A., Minneapolis, Minnesota. Merrill Lynch Pierce Fenn

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Ramona V. MacKinnon Ramona V. MacKinnon SEP IRA Case No. 00-04333 Name of Respondent Raymond James Financial Services, Inc. f/k/a Investment Management & Research, Inc. Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Ramona V. MacKinnon and Ramona V. MacKinnon SEP IRA, hereinafter referred to as "Claimant": Any Sinelli, Esq. of Ig

06/13/05 12:15 FAX 2128583909 NASD REGULATION ® 002 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Randy Langhamer (Claimant) v. Joseph Gunnar & Co., Joseph A. Alagna, Jr., Brian T. Clendenin,, Steven Singer, Joseph Duarte, and Abner Zalaznick (Respondents) Case Number: 03-00386 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Helene Berger Foundation (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Laurie C. Kamhi (Respondents) Case Number: 03-00384 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Helene Berger Foundation ("Foundation") hereinafter referred to as "Claimant": Marc J. Ross, Esq., Sichenzia