Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01851 Prime Charter Ltd. Name of the Respondent Hearing Site: Boca Raton, FL David A. Baum Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Prime Charter Ltd. ("Prime"), hereinafter referred to as "Claimant": Evelyn Bukchin, Counsel, Prime, New York, NY. David A. Baum ("Baum"), hereinafter referred to

NASD DISPUTE RESOLUTION MODIFIED AWARD NASD DISPUTE RESOLUTION i * CASE: 03-01844 Lee R. Frank, (Claimant) vs. Whitehall Wellington Investments, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se> Tamarac, FL. For Respondent appeared Stuart Weinberg, Pres., Port Washington, NY. NATURE OF DISPUTE: Associated Person vs. Terminated Member DATE FILED: March 14, 2003 CASE SUMMARY: Claimant alleged that Respondent placed erroneous comments on his

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01844 Lee R. Frank, Claimant vs. Whitehall Wellington Investments, Inc., Respondents. ATTORNEYS: Claimant, Lee R. Frank, ("Claimant") appeared pro se., Tamarac, FL. For Respondent, Whitehall Wellington Investments, Inc., ("Respondent") appeared its President, Stuart Weinberg, Port Washington, NY. DATE FILED: March 14, 2003 CASE SUMMARY: Claimant alleged that Respondent placed erroneous c

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul V. Bergantino, Jennifer E. Bergantino, Individually and as Parents and Next Friends of Their Minor Children, John Angelo Bergantino, Elizabeth Marie Bergantino and David Rocco Bergantino, and Paul V. Bergantino as Trustee of the Bergantino 1999 Grantor Retained Annuity Trust (Claimants) v. Lehman Brothers, Inc. and Edward L. Turley (Respondents) Case Number: 03-01843 Hea

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Africk (Claimant) v. Blaylock & Partners, L.P. (Respondent) Case Number: 03-01841 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Robert Africk ("Africk") hereinafter referred to as "Claimant' 1 : Jeffrey L. Liddle, Esq., Liddle & Robinson, L.L.P., New York, NY. Respondent Blaylock & Partners

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Karen Munk and Karen Munk IRA (Claimants) v. PaineWebber, Inc. n/k/a UBS Financial Services, Inc. and Linda Koszalka (Respondents) Case Number: 03-01839 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Karen Munk ("K. Munk") and Karen Munk IRA ("K. Munk IRA") hereinafter collectively referred

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carol A. Davey and Carol A. Davey IRA (Claimants) v. Citigroup Global Markets, Inc. file/a Salomon Smith Barney, Inc. and Anthony Parisi (Respondents) Case Number: 03-01836 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Carol A. Davey ("Davey") and Carol A. Davey IRA ("Davey IRA") hereina

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01835 William D. Alexander Succ. TTEE FBO Marian I. Schmidt Trust U/A/D 11/17/89, Claimant vs. UBS PaineWebber, Inc., and Jan Louis Long, Respondents. ATTORNEYS: For Claimant, William D. Alexander Succ. TTEE FBO Marian I. Schmidt Trust U/A/D 11/17/89, ("Claimant"), appeared Jane L, Stafford of the firm Spencer Fane Britt & Browne, LLP, Missouri City, MO. Respondents, UBS PaineWebber, Inc

REC52VED MAY : . 3 7,m NASD Arbitration OA- i j. j A J Stipulated Award NASD Dispute Resolution, Inc. RECEIVED In the Matter of the Arbitration Between: Silvia Cohen, Claimant v. Salomon Smith Barney Inc. and Edward K. Levi, Respondents Case Number: 00-03545 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Paul W. Thomas, Esq. Paul W. Thomas & Associates Carlsbad, California For Respondent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01834 Renee Feldman, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Renee Feldman, ("Claimant"), appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor P.A., Pensacola, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. and