Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00229 Larry J. Tracy Names of the Respondents' t Hearing Site: Tampa, Florida Michael P. Tracy Holly Chandler Tracy ' : Sarasota Asset Management, Inp. REPRESENTATION OF PARTIES Larry Tracy, hereinafter referred to as "Claimant", appeared pro se. Michael P. Tracy ("MPT") and Holly Chandler Tracy ("HCT"), appeared pro se.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant David A. Rawlings Name of the Respondent The Advisors Group, Inc. Name of the Third Party Respondent James D. Sadlier Case Number: 03-00228 (Consolidated with 03-02487 and 03-02488) Hearing Site: Atlanta, GA Nature of the Dispute: Customer vs. Member vs. Associated Person. In the Matter of the Arbitration Between: Names of the Claiman

Award NASD Dispute Resolution In the Matter 01 tne Arbitration between: Name of the Claimant Case Number: 03-00224 Robert Fraiberg Names of the Respondents Hearing Site: Boca Raton, Florida Bane of America Investment Services, Inc. Daniel T. Schmidt Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert Fraiberg ("Fraiberg"), hereinafter referred to as "Claimant": Justin Kam, Esq. and David Fei

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Tully and Colleen Tully JTTEN, Colleen Tully c/f Gavin Tully, Colleen Tully c/f Shannon Tully, Richard Tully IRA, and Colleen Tully IRA (Claimants) v. A.G. Edwards & Sons, Inc., James J. Coughlin, and Randall Ferraro (Respondents) Case Number: 03-00218 Hearing Site: City, State Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PAR

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kenneth A. Barton and Charnie Stein, (Claimants) vs. Hampton Porter Investment Bankers and Troy Peters, (Respondents) Case Number: 00-04319 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Kenneth A. Barton ("Barton") and Charnie Stein ("Stein"), hereinafter collectively referred to as "Claimants", appeared pro se. Respondents, Hampton Porter Investmen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Bauer (Claimant) v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. (Respondent) Case Number: 03-00216 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Charles Bauer ("Claimant") hereinafter referred to as "Claimant": Donald G. McGrath, Esq., McGrath & Polvino, PLLC, Williamsville, NY. Resp

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jan Green, John Toroni JTWROS, and Bertram Green Dec'd IRA FBO Jan Green as Beneficiary, (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Dale Koblenzer, and John J. Inhouse, III, (Respondents) Case Number:03-QQ215 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants, Jan Gre

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 03-00214 Christine Mustazza, Vivian Mustazza, And Estate of Peter Mustazza Hearing Site: New York, New York Respondents RBC Dain Rauscher Inc., John Micera, and James Cashman Nature of Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Christine Mustazza ("C. Mustazza"), Vivian Mustazza ("V.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00212 Amelia Bova Names of the Respondents Hearing Site: Chicago, Illinois Morgan Stanley DW, Inc., Mark H. Richmond, and Barbara B. Mclntyre Type of Controversy: Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Claimant Amelia Bova appeared pro se. Respondents Morgan Stanley DW, Inc. (Morgan Stanley), Mark H.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00210 Dennis E. Freed IRA & Roth IRA Claimant vs. UBS PaineWebber, Inc., Joseph A. DePaula, Patrick M. Mendenhall, and Jeanne Selian, Respondents. ATTORNEYS: Claimant, Dennis E. Freed, ("Claimant"), appeared pro se, Katy, TX. Respondents, UBS PaineWebber, Inc., Joseph A. DePaula, Patrick M. Mendenhall, and Jeanne Selian, (collectively "Respondents"), appeared through their in-house counsel,