Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Case # 05-05681 Granite Associates, Inc. (Claimant) vs. Richard James Coleman (Respondent) consolidated with Case # 05-05683 Granite Associates, Inc. (Claimant) vs. Michael Resciniti (Respondent) consolidated with Case # 05-05684 Granite Associates, Inc. (Claimant) vs. Thomas John Tedeschi (Respondent) consolidated with Case # 05-05685 Granite Associates, Inc. (Cl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Case # 05-05681 Granite Associates, Inc. (Claimant) vs. Richard James Coleman (Respondent) consolidated with Case # 05-05683 Granite Associates, Inc. (Claimant) vs. Michael Resciniti (Respondent) consolidated with Case # 05-05684 Granite Associates, Inc. (Claimant) vs. Thomas John Tedeschi (Respondent) consolidated with Case # 05-05685 Granite Associates, Inc. (Cl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Case # 05-05681 Granite Associates, Inc. (Claimant) vs. Richard James Coleman (Respondent) consolidated with Case # 05-05683 Granite Associates, Inc. (Claimant) vs. Michael Resciniti (Respondent) consolidated with Case # 05-05684 Granite Associates, Inc. (Claimant) vs. Thomas John Tedeschi (Respondent) consolidated with Case # 05-05685 Granite Associates, Inc. (Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant IFG International Tmst Company Limited, as Trustee of the Lorenzetti Trust, Manzoni Trust, Nonna Trust, Orozco Trust and Pistoletto Trust Name of the Respondent UBS Financial Services, Inc. Case Number: 05-03163 (consolidated with 05-04713, 05-04983, 05-05345 and 05-05879) Hearing Site: Boca Raton, Florida In the Matter of the Arbitration B

Award NASD Dispute Resolution In the Matter of the Arbitrafion Between: Case # 05-04470 Harbert Distressed Investment Master Fund, LTD. (Claimant) vs. Stone & Youngberg LLC (Respondent) Stone & Youngberg LLC (Respondent) vs. Garban LLC (Third-Party Respondent) ICAP Corporates LLC formeriy known as Garban Corporates LLC (Third-Party Respondent) vs. Barclays Capital Inc./Barclays Bank PLC, London Branch, RBC Dain Rauscher Inc., Miller Tabak & Company, I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant IFG International Tmst Company Limited, as Trustee of the Lorenzetti Trust, Manzoni Trust, Nonna Trust, Orozco Trust and Pistoletto Trust Name of the Respondent UBS Financial Services, Inc. Case Number: 05-03163 (consolidated with 05-04713, 05-04983, 05-05345 and 05-05879) Hearing Site: Boca Raton, Florida In the Matter of the Arbitration B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eric Zipfel and Neil Zipfei (Claimants) vs. Fifth Third Securities, Inc. (Respondent) Case Number: 05-02520 Hearing Site: Columbus, Ohio Mark Zipfel (Claimant) vs. Fifth Third Securifies, Inc. (Respondent) Case Number: 05-04932 Hearing Site: Columbus, Ohio Fifth Third Securifies, Inc. (Claimant) vs. Mark Zipfel (Respondent) Case Number: 05-04948 Hearing Site: Columbus, Ohio Nature

Award NASD Dispute Resolution In ttie Matter of the Arbitration Between: Eric Zipfel and Neil Zipfei (Claimants) vs. Fifth Third Securities, Inc. (Respondent) Case Number: 05-02520 Hearing Site: Columbus, Ohio Mark Zipfel (Claimant) vs. Fifth Third Securifies, Inc. (Respondent) Case Number: 05-04932 Hearing Site: Columbus, Ohio Fifth Third Securifies, Inc. (Claimant) vs. Mark Zipfel (Respondent) Case Number: 05-04948 Hearing Site: Columbus, Ohio Natur

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant IFG International Tmst Company Limited, as Trustee of the Lorenzetti Trust, Manzoni Trust, Nonna Trust, Orozco Trust and Pistoletto Trust Name of the Respondent UBS Financial Services, Inc. Case Number: 05-03163 (consolidated with 05-04713, 05-04983, 05-05345 and 05-05879) Hearing Site: Boca Raton, Florida In the Matter of the Arbitration B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Nicholas C. Hodges Names of the Respondents Partner Connections, LLC Kirby Living Trust James Kirby Briden Investments, LLC William Little John Stevko Case Number: 05-02771 (consolidated with 05-04012) Hearing Site: Jackson, Mississippi In the Matter of the Arbitration Between: Name of the Claimant Partner Connections, LLC N