NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02057 Ronald and Terri Parise, Claimants vs. Marat Fishman, Sheldon Andre Singh, John Anthony Bruno, Steven Michael Gerstel, and Michael John Wills, Respondents. ATTORNEYS: For Claimants, Ronald and Terri Parise, (collectively "Claimants"), appeared Adam M. Lippman of Brooklyn Law School, Brooklyn, NY, previously represented by Jaime Jackson. Respondent, Marat Fishman, appeared pro se, Bayon

Award NASD Dispute Resolution, Inc. In the Mattel] of ilie Arbitration Between: ! i Orthopedic &, Sports Associates of Long Island, P.C. Profit Sharing Plan, (Claimant) vs. Randall S. Appel, Appel Financial Planning, Ltd., and Strategic Assets, Inc., (Respondents) Case Number: -03581 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Orthopedic & Sports Associates of Long Island, P.C. Profit Sharing Plan, hereinafter referr

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02055 Fahnestock & Co. Inc., Claimant vs. Thomas Wester, Respondent. ATTORNEYS: For Claimant appeared in-house counsel, Eric J. Shames, Esq., New York, NY. Respondent did not respond to the Statement of Claim. DATE FILED: March 21, 2003 CASE SUMMARY: Claimant alleged that Respondent has failed and refused to repay monies owed pursuant to the terms of a Promissory Note, and an amount owed

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02053 Fahnestock & Co. Inc., Claimant vs. Stacy McBee, Respondent. ATTORNEYS: For Claimant appeared in-house counsel, Eric J. Shames, Esq., New York, NY. Respondent appeared pro se, Atlanta, GA. DATE FILED: March 21, 2003 CASE SUMMARY: Claimant alleged that Respondent has failed and refused to repay monies owed pursuant to the terms of a Promissory Note following the termination of his e

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patrick C. Mobouck (Claimant) v. Sands Brothers & Co., Ltd. and Richard Sands (Respondents) Case Number: 03-02052 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Patrick C. Mobouck ("Mobouck") hereinafter referred to as "Claimant": Michael Kahnus, Esq., New York, NY. Respondent Sands

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nicholas Aronis; Linda Babin; Dan and Lois Blaga; Jeff and Tammie Butler; Robert and Beth Campbell; Jonathan Campbell; Kevin Cotter; Paul Dillon; John and Suzanne Ferrari; Larry Freeman; Jim Garibaldi; Ren and Gail Grendahl; James Huzella; Norbert Huzella; Ronald W. Frank; David C. James; Nancy Jones-Liss; Gary Klopfenstein; Dee Dee Le and Gary Troiani; Lilian Hua Li; Jonatha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services Inc., Claimant v. Christian Wragg, Respondent Case Number: 03-02036 Situs: San Francisco, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Lisa A. Catalano, Esq. Davidson & Grannum, LLP Northvale, New Jersey Respondent did not enter an appearance in this matter CASE INFORMATION Statement of C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02032 Estate of Ann Cuneo Name of the Respondents Hearing Site: Chicago, Illinois Cowen & Co., SG Cowen Securities, Corp., Societe Generate, S.A., Lehman Brothers, Inc., and Lehman Brothers Holdings, Inc. NATURE OF THE DISPUTE Customer v. Member Firms and Non-Member Firms REPRESENTATION OF PARTIES Howard S. Suskin, Esq., Suzanne J

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John L. Russo, Claimant Case Number:- 03-02027 v. James M. Ford, Joel C. Rolla, Hearing Site: St. Louis, Missouri Wunderlich Securities, Inc., Michael D. Ganey, Patrick James Forkin, III and J. Michael-Patrick, LLC, Respondents. NATURE OF THE DISPUTE Customer vs. Member Firm, Terminated Member and Associated Persons REPRESENTATION OF PARTIES Claimant, John

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants David Roslonski and Gail Rosionski vs. Names of Respondents Merrill Lynch Pierce Fenner & Smith Inc., and Robert W. Hollinger Case Number: 03-02026 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES David Roslonski and Gail Roslonski ("Claimants") were represente