Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-08894 UBS Financial Services, Inc. Name of the Respondent Hearing Site: Tampa, Florida Donald Stiegler Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For UBS Financial Services, Inc., hereinafter referred to as "Claimant": Brent A. Burns, Esq., Davidson & Grannum, LLP, Northvale, New Jersey. Donald Stieg

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fred Anderson and Ruth E. Anderson JTWROS (Claimants) v. UBS PaineWebber and Mark Flower (Respondents) Case Number: 03-08878 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Fred Anderson and Ruth E. Anderson JTWROS, hereinafter collectively referred to as "Claimants'*: Hugh D. Berkson,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Riccardo Lonardo, Richard Lonardo, Bryan Lonardo, Rachel Lonardo, Joseph Traficante, Sr., and Joseph Traficante, Jr. (Claimants) v. Cantella & Co., Inc. (Respondent) v. Bane of America Securities, LLC and Spear, Leeds & Kellogg, L.P. (Third-Party Respondents) Case Number: 03-08875 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member (Initial Claim). Member

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bao Guang Zhang (Claimant) v. Fahnestock & Co., Inc. f/k/a Prime Charter, Ltd. (Respondent) Case Number: 03-08872 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Bao Guang Zhang ("Zhang") hereinafter referred to as "Claimant": Howard M. Rosenfield, Esq., Farmington, CT. Respondent Fahnestock & Co., Inc. f/k/a Pri

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: JOHN E. MCLENITHAN, III, Trustee, and THOMAS M. MCLENITHAN, Trustee of the JOHN E. MCLENITHAN III & DEEANNA M. MCLENITHAN 1999 IRREVOCABLE TRUST, JOHN E. MCLENITHAN, III AND DEEANNA M. MCLENITHAN, THE JOHN E. MCLENITHAN REVOCABLE TRUST, THE DEEANNA M. MCLENITHAN REVOCABLE TRUST (Claimants) v. CIBC OPPENHEIMER CORP., a Division of CIBC World Markets Corp.,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08869 R. Chandrasekaran and KJ Chandrasekaran, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimants R. Chandrasekaran and KJ Chandrasekaran (collectively "Claimants") appeared Kathleen P. Toolan, Esq. and Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lyn

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08868 Ilya I. Novof, Claimant v. Meyers Associates, L.P. and Bruce Meyers, Respondents. ATTORNEYS: Claimant, Ilya I. Novof, ("Claimant"), appeared pro se, Essex Junction, VT. Respondents, Meyers Associates, L.P. and Bruce Meyers, ("Respondents"), appeared through their compliance consultant, Charles Lake, New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILE

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: George W. and Sharon M. Banas vs. Edward Jenkins and Prudential Securities n/k/a/ Prudential Equity Group, Inc. Case Number: 03-08867 Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, George W. and Sharon M. Banas hereinafter collectively referred to as "Claimants" appeared pro se,Wilkes-Barre, PA. Respondents,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08866 Philip Goldstein, Claimant v. Veritrust Financial, LLC, Respondent ATTORNEYS: Claimant, Philip Goldstein ("Claimant"), appeared pro se, Northridge, C A. For Respondent, Veritrust Financial, LLC ("Respondent"), appeared President, Julian G. Rasbury, Austin, TX. NATURE OF DISPUTE: Associated Person vs. Member. DATE FILED: December 8, 2003. CASE SUMMARY: Claimant alleged that Resp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names riaitnants Franco and Antonietta Moscatiello Case Number 03-08863 Names J.J.B. Billiard, W.L. Lyons Edmund Kosakowsky Michael Klems Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants, Franco and Antonietta Moscatiello, hereinafter collectively referred to as