AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Alan and Judith Yale and 03-00050 Chicago, Illinois Name of Respondents SG Cowen Securities Corp. Societe Generate, S.A. Societe Generate, S.A. Financial Square Partners, f/k/a Cowen & Company Lehman Brothers Inc. Lehman Brothers Holdings, Inc. Nature of the Dispute: Customer vs. Members and Non-Members. REPRESENTATION OF PARTIES Alan and

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Richard Miller, Individually and/as Power of Attorney for Effie Miller and Case Number: 03-00046 Hearing Site: Houston, Texas Names of Respondents Edward D. Jones & Co. Michael S. Murphy NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Richard Miller, Individually and as Power of Attorney for Effie Mille

Award COPY NASD Dispute Resolution In the Matter of the Arbitration Between: The Hoeschler Joint Trust dtd March 30, 1988, Claimant v. Morgan Stanley DW Inc., Robert H. Magel, and Melissa Campbell, Respondents Case Number: 03-00045 Hearing Site: San Diego, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Frank A. Hoeschler Power of Attorney La Jolla, California For Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John W. Tanner (Claimant) v. SG Cowen Securities Corp. and Kim Fennebresque (Respondents) Case Number: 03-00037 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant John Tanner ("Tanner") hereinafter referred to as "Claimant": Judith A. Miller, Esq., Attardo and Miller, LLP, Chestnut Hill

NASD DISPUTE RESOLUTION AWASD NASft PESPUCE CASE: 03-00032 Matthew A. Burello, claimant vs. John Bruzzese, respondent ATTORNEYS; Claimant appeared pro se, Pittsburgh, FA. Respondent appeared pro so, Moon Township, PA, DATE HLED: January 3, 2003 CASE SUMMARY: Claimant alleged tfast respondent advised him to omit information, on his Form U< 4 regarding the fact that he was charged but not convicted of a felony or misdemeanor. Claimant maintained th

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00027 Joseph P. Labriola, Claimant vs. Patrick Botula and UBS PaineWebber, Inc., Respondents. ATTORNEYS: Claimant, Joseph P. Labriola, ("Claimant") appeared pro se., Pittsburgh, PA. Respondents, Patrick Botula and UBS PaineWebber, Inc., (collectively "Respondents") appeared through their in-house counsel, Heather A. Wright, Esq., New York, NY. DATE FILED: January 3, 2003 CASE SUMMARY: Cl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John H. Morgenthaler, Claimant v. Alex Zinger, Respondent Alex Zinger, Counter-Claimant v. John H. Morgenthaler, Counter-Respondent Alex Zinger, Third Party Claimant v. William Raike and Raike Financial Group Inc., Third Party Respondents Case Number: 03-00022 Hearing Site: Reno, Nevada Nature of Dispute: Customer v. Associated Person Nature of Dispute: Associated Per

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter M. Horvath, as an Individual and as Co-Trustee of the Horvath Family Trust and Susan A. Horvath, as Co-Trustee of the Horvath Family Trust, Claimants v. Raymond James Financial Services, Inc. and William R. Shinen, Respondents Case Number: 03-00018 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION O

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: J. Jeffrey Weisenfeld, (Claimant) vs. J.W. Barclay & Co., Inc. and John A. Bruno, (Respondents) Case Number: 00-04290 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, J. Jeffrey Weisenfeld, hereinafter referred to as "Claimant": Daniel R. Solin, Esq., a sole practitioner, Bonita Spring, FL. Respondents, J.W. Barclay & Co., Inc. ("Barclay") and John A. B

STIPULATED A WARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jane A. Mattison-Jewell and 03-00017 Tucson, Arizona Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Ralph E. Silberschlag Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Jane A. Mattison-Jewell ("Claimant") was represented by Mark D. Lammers, Esq., Anson, Lammers & Barkley, P.C