NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04288 PaineWebber Incorporated, Claimant vs. Barbara Russell, Respondent. ATTORNEYS: Claimant, PaineWebber, Inc., ("Claimant"), appeared through its counsel, Romaine L. Gardner, Esq., Staten Island, NY. Respondent, Barbara Russell, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: September 28, 2000 CASE SUMMARY: Claimant alleged that Respondent wrote a check i

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Haseen Akhtar, (Claimant) vs. Datek Online Brokerage Services, LLC (Respondent), Case Number: 00-0439 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Haseen Akhtar, ("Claimant"): represented himself. Respondent, Piper ("Respondent"): Datek Online Brokerage Services, LLC, Asha Dhillon, Esq. and G. Thomas Fleming, Esq., Jones, Bell, Abbott, Fleming & Fitz

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brett Richman, Claimant v. Kelly Dougherty and UBS Financial Services Inc. f.k.a. UBS Paine Webber, Inc., Respondents Case Number: 02-07846 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondents: Daniel W. Dunbar, Esq. Law Offices of Daniel W. Dunbar Torrance, C

Award NASD Dispute Resolution In the Matter of the Arbitration Between; UBS Internationa], Inc. (Claimant) v, David Heffsman (Respondent) Case Number. 02-07841 Hcarijjjkgjjg: New Yoik, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant UBS International, Inc. hereinafter referred to as "Claimant": Deborah H, Gottlieb, Esq., Davidson & Grannwn, LLP, Northvale, NJ. Respondent David Heffeman hereinafter refe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants William Gabrilowitz, Trustee of the William Gabrilowitz Trust U/A/D 01/26/88 and Debra Gabrilowitz, Trustee of the Ann Gabrilowitz Trust U/A/D 01/26/88 Names of the Respondents Prudential Equity Group, Inc. and Alan Marshall Kestin Case Number: 02-07839 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member Firm and Associated

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Charles B. Boudreaux Betty F. Boudreaux Names of the Respondents NYLife Securities, Inc. John Steven Blount New York Life Insurance and Annuity Corp. Case Number: 02-07838 Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member and Associated Person and Non-Member. REPRESENTATION OF PARTIES For Charles B. Boudreaux and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07833 Konstantine Yankopolus Names of the Respondents " Hearing Site: Boca Raton, Florida Sands Brothers & Co., Ltd. Robert Bonaventura Michael Caska William lommi, Sr. Maria Minguez Michael Salviolo, Jr. Martin Sands Steven Sands Alex Shtaynberger Christopher Silver Nature of the Dispute: Customer vs. Member and A

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Dorothy Bruce IRA, (Claimant) vs. Jeffrey Ulrich, (Respondent) Case Number: 02-07830 SITUS: Cleveland, Ohio NATURE OF DISPUTE: Customer vs. Associated Person. REPRESENTATION OF PARTIES Dorothy Bruce IRA, hereinafter referred to as "Claimant": Richard A. Beebe, Esq., Cleveland, OH. Respondent did not enter an appearance in this matter. DATE FILED: December 26, 2002. C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tejinder P. Singh and Iqbal Singh (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Jeffrey Williams (Respondents) Case Number: 02-07828 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Tejinder P. Singh ("T. Singh") and Iqbal Singh ("I. Singh") hereinafter collectively referred to

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants James and Joanne Fisher v. 02-07827 Omaha, Nebraska Respondents FFP Securities, Inc. and Randy L. Beltramea d/b/a Beltramea Investment Management Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES James and Joanne Fisher ("Claimants") were represented by Thomas Wolle, Esq., Moyer & Bergman, P.L.C., Cedar Rapids, Io