Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Jack E. Lauterbach Case No. 00-04161 Morgan Stanley DW Inc.; John M, Billingsley; Jeffrey M. Roumfort; NWQ Investment Management Co.; and Michael C. Mendez Hp.aring Site: Houston > Texas Claimant Jack E. Lauterbach ("Lauterbach") was represented by Frank Pinedo, Esq., of the Law Offices of Frank Pinedo, located in Houston, Texas. Respondents Morgan S

0^/31/2004 11:32 FAX 312 899 4407 N A S D 1002/009 STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard McBride and Case Number: 02-06891 Hearing Site: Houston, Texas Names of Respondents IFG Network Securities, Inc., and Bert E. Miller, Jr. MATURE Of CASE Customer v. Member and Associated Person REPRESENTATION OF Richard McBride ("Claimant") was represented by

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between James V. McMahill and Mary E. McMahill v. 02-06890 Minneapolis, Minnesota Respondents US Bancorp Piper Jaffray, Inc. and Daniel Lastavich Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES James V. McMahill and Mary E. McMahill ("Claimants") were represented by Henry M. Helgen, Esq., and Jennifer Jameson, Esq., of McGrann She

Award NASD Dispute Resolution P P P I \/'*-*"* v- w L- / V c D feIR -q A o. • • •' /-\ v In the Matter of the Arbitration Between: ^^TRAnQN p . - - Edward Irwin Frankel, Claimant v. Aragon Financial Services, Inc. and Veritrust Financial, LLC, Respondents Case Number: 02-06887 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Members REPRESENTATION OF PARTIES For

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services Inc. f7k/a UBS Paine Webber, Inc., Claimant v. Jooyoon Back, Respondent Case Number: 02-06885 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Laura Martin, Esq. Davidson & Grannum, LLP Northvale, New Jersey For Respondent: Jooyoon Back In Propria Persona

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hector Lamas and Leila Lamas, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Scott C. Brown and Alan Mattes, Jr., Respondents Case Number: 02-06883 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES * ' For Claimants: Mitchell S. Ostwald, Esq. Law Offices of Mitchell S. Os

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06881 Prudential Securities, Incorporated Name of the Respondent Hearing Site: Boca Raton, Florida Roselyn Vilovar Nature of Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For Prudential Securities, Incorporated, hereinafter referred to as "Claimant": Richard L. Martens, Esq. and Matthew N. Thibaut, Esq., Boose Casey Ciklin Lubit

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06878 Prudential Securities, Incorporated Name of the Respondent Hearing Site: Boca Raton, Florida Robert Andrew Mick Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For Prudential Securities, Incorporated, hereinafter referred to as "Claimant": Richard L. Martens, Esq. and Matthew N. Thibaut, Esq.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06871 Prime Charter Ltd., Claimant vs. Andre F. Jordan, Respondent. ATTORNEYS: Claimant, Prime Charter Ltd., ("Claimant") appeared through its in-house counsel, Eric J. Shames, Esq., New York, NY. Respondent, Andre F. Jordan ("Respondent") did not submit an answer to the Statement of Claim. DATE FILED: November 13, 2002. CASE SUMMARY: Claimant alleged that Respondent has failed and refus

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Kamil H. Sweidan (a/k/a Kamil Sweidan), individually and as Trustee of the Kamil Sweidan Trust and Case Number: 02-06869 Hearing Site: Troy, Michigan Names of Respondents 1 1 UBS Financial Services, Inc. , and Joseph Majdalani NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Kamil H