Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lance C. Newby and John H. Chilcott, Claimants v. Jonathan Masaru Emura, Ching Hui Wang aka Candy Wang, and Shawn Brian McKay, Respondents Case Number: 02-07207 Hearing Site: Honolulu, Hawaii Nature of the Dispute: Associated Persons v. Associated Persons REPRESENTATION OF PARTIES For Claimant Lance C. Newby: Lance C. Newby In Propria Persona Kailua, Hawaii For Claimant

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04205 Danny F, Wu, claimant vs. Fidelity Brokerage Services LLC, respondent. ATTORNEYS: Claimant, Danny F. Wu appeared Pro Se, Germantown, MD. For Respondents Fidelity Brokerage Services LLC appeared David C. Boch, Esq., of the firm Bingham Dana LLP, Boston, MA. DATE FILED: September 17, 2000 CASE SUMMARY: Claimant alleged that respondent failed to execute a sell order of 8,500

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Olsen Family Trust DTD 01/05/96, Claimant vs. Morgan Stanley DW Inc. and Richard B. French, Respondents Case Number: 02-07203 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: William S. Bonnheim, Esq. William S. Bonnheim, PLC Palm Desert, California For Respondents: Ronald E.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jennifer A. Honen (Claimant) v. Morgan Stanley & Co., Inc., Mark L, Edelstone, John Cross, Louis P. Gerhardy, and Gary Chia (Respondents) Case Number: 02-07198 Hearing Site: Albany, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Jennifer A. Honen ("Honen") hereinafter referred to as "Claimant": Richard E.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07197 UBS/Paine Webber, Inc., Claimant vs. Curtis J. Easton, Respondent. ATTORNEYS: For Claimant, UBS/PaineWebber, ("Claimant") appeared Lisa A. Catalano, Esq. of the Law Offices of Davidson, Manchel & Brennan, LLP, Northvale, NJ. Respondent, Curtis J. Easton, ("Respondent") appeared Pro. Se, Blue Bell, PA. DATE FILED: November 26, 2002. CASE SUMMARY: Claimant alleged that Respondent fai

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07194 Leo Andreoli, claimant vs. Webster Investment Services, Inc. and Robert Cosentino, respondents. ATTORNEYS: Claimant appeared pro se, Las Vegas, NV. For Respondent, Webster Investment Services, Inc., appeared in-house counsel Thomas N. Howe, Waterbury, CT. Respondent, Robert Cosentino, appeared pro se, Farmington, CT. DATE FILED: November 26, 2002 CASE SUMMARY: Claimant alleged

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf tV)p riflfrnanf P^p Niirnhftp 02-07189 S&RPartnership Hiring Site' Dallas, Texas Lehman Brothers, Inc.; and Karen Post Ford Customer v. Member Firm and Associated Person Claimant S & R Partnership, hereinafter referred to as "Claimant": H. Allan Pennington, Jr., Esq. of the firm of Pennington Baker, located in Fort Worth, Texas. Respondents Lehman Brothers, Inc. ("Leh

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf ttip. Plai' UBS Financial Services Inc. . Nnmher: 02-07187 V. Name, nf the Ryan Pitcher Hearing Site: Detroit, Michigan Member v. Associated Person NATTIRR OF DTSPTITK KKPRRSKNTATTON OFPAETTRS Claimant, UBS Financial Services Inc., hereinafter referred to as "Claimant", was represented by Laura Martin, Esq., Davidson, Manchel & Brennan, Nor

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Todd Jeffrey Elkins, Claimant v. Prudential Securities, Inc. (n/k/a Prudential Equity Group, LLC), Jordan R. Matthews m, Kevin T. Kitchin, Michael A. Pedone and Timothy R. Redpath, Respondents Case Number: 02-07184 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: James Jay

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07180 UBS Financial Services Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Angel A. Beguiristain Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For UBS Financial Services Inc., hereinafter referred to as "Claimant": Laura Martin, Esq., Davidson, Manchel & Brennan, LLP, Northvale, New J