Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-08768 Bernice Goszewski Richard Goszewski Names of the Respondents Hearing Site: Tampa, Florida Advest, Inc. Edward Carlsen, Sr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Bernice Goszewski and Richard Goszewski, hereinafter collectively referred to as "Claimants": Michael Hub

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-08764 Louis Maas Susan Maas Lou Maas IRA Susan Maas IRA Name of the Respondent Hearing Site: Tampa, FL Raymond James Financial Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Louis Maas, Susan Maas, Lou Maas IRA, and Susan Maas IRA, hereinafter collectively referred to as "Claimants"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-08763 Kenneth J. Mader, IRA Name of the Respondent Hearing Site: Tampa, Florida Raymond James Financial Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Kenneth J. Mader, IRA, hereinafter referred to as "Claimant": Jeffrey P. Coleman, Esq., Jeffery P. Coleman, P.A., Clearwater, Florida. For Raym

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-08761 UBS Financial Services, Inc. Name of the Respondent _____ Hearing Site: Tampa, Florida Malcom Gene Taaffe Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Services, Inc., hereinafter referred to as "Claimant UBS": Sandra D. Grannum, Esq., Davidson & Grannum, LLP T Northvale, Ne

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants David B. Garvin and Thomas A. Donnelly, Trustees of the David B. Garvin 1997 Irrev. Trust DTD 12/18/97 and Case Number: 03-08753 Hearing Site: Louisville, Kentucky Names of Respondents UBS Financial Services, Inc., and Steven Allen Rogers NATURE OF CASE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Susan H. Michalow Names nf the Respondents Prudential Equity Group, LLC Kevin G. LePrince David M. ScafFe Case Number- 03-08752 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Persons. RFPRRSFNTATTON OF PARTTF.S Claimant, Susan H. Michalow, hereinafter referred to as "Claimant", was represente

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the r.lflimantq Case Number! 03-08751 Dale W. and Barbara A. Deist Hickory Hollow, LP Names of the Respondents Hearing Site- Pittsburgh, PA T. Fred Bailey Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customers vs. Associated Person and Member REPRESENTATION OF PARTTFS Claimants, Dale W. and Barbara A. Deist and Hickory Hollow, LP

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dreyfus Service Corporation (Claimant) v. J. Kenneth Lyons and Wachovia Securities (Respondents) Case Number: 03-08750 Hearing Site: New York, New York Nature of the Dispute: Member v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Dreyfus Service Corporation ("Dreyfus") hereinafter referred to as "Claimant": Robert A. Giacovas, Esq., Lazare Potter Giacovas & K

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lynn E. Welch (Claimant) v. Steven E. Kotch and Cathleen Cohen (Respondents) Case Number: 03-08745 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Customers. REPRESENTATION OF PARTIES Claimant Lynn Welch ("Welch") hereinafter referred to as "Claimant": Ambrose M. Richardson, Esq., A.M. Richardson, P.C., New York, NY. Respondent Steven E. Kotch ("Kot

Award NASD Dispute Resolution, lac. In the Matter of the Arbitration Between Name of Claimant Clear Communications Group, Inc. Case No. 00-01697 Name of Respondent Legacy Securities Corp., Inc. Name of Third-Party Respondent o2wireless Solutions, Inc. REPRESENTATION OF PARTIES For Clear Communications Group, Inc. ("Clear"), hereinafter referred to as "Claimant" and o2wireless Solutions, Inc. ("Wireless"), hereinafter referred to as "Thir