NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08606 Raymond James Financial Services, Inc., Claimant v. Kevin Hauser, Respondent. ATTORNEYS: Claimant, Raymond James Financial Services, Inc., ("Claimant"), appeared through its in-house counsel, Leslie A. Reese, Esq., St. Petersburg, FL. Respondent, Kevin Hauser, ("Respondent"), appeared pro se, Delray Beach, FL. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: December 5, 2

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-08603 David Freed Name of the Respondent Hearing Site: Boca Raton, Florida Prudential Equity Group, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES David Freed, hereinafter referred to as "Claimant", appeared pro se. For Prudential Equity Group, LLC, hereinafter referred to as "Respondent": Barry M. L. Standig, E

Award NASD Dispute Resolution In the Matter of the Arbitrafion Between: Name of the Claimant Case Number: 07-00439 Matfie McCurdy Names of the Respondents Hearing Site: New Orleans, Louisiana MetLife Securities, Inc. Valerie Garriga Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Mattie McCurdy, hereinafter referred to as "Claimant": George W. Healy, IV, Esq., Attorney at Law, Gulfport, Mississi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Serdula, Claimant v. Citigroup Global Markets, Inc. and Richard A. Cohen, Respondents Case Number: 03-08598 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant John Serdula hereinafter referred to as "Claimant": George F. Surgent, Esq., Mahwah, NJ. Respondents Citigroup Global Market

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Louis Daily and Names of Respondents Wachovia Securities, LLC, The (Wilson) Williams Financial Group, First Allied Securities, Inc., D.E. Frey& Company, Inc., Wachovia Securities Financial Network, LLC, f/k/a JW Genesis Financial Services, Inc. f/k/a Corporate Securities Group, Inc., Wachovia Corporation and GMS Group, LLC Case Number

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Francesca Messina (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Theodore Grippo (Respondents). Case Number: 03-08589 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Francesca Messina hereinafter referred to as "Claimant": Sheldon H. Gopstein, Esq., Law Offices of Sheld

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-08586 John B. Gannon, Individually and on Behalf of the John B. Gannon IRA Name of the Respondent Hearing Site: Tampa, FL Morgan Keegan & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For John B. Gannon, Individually and on Behalf of the John B. Gannon IRA, hereinafter referred to as "Claimant": W. An

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Philip and Martha Kuzmeski (Claimants) v. Advest, Inc. and Paul Hipsky, III (Respondents) Case Number: 03-08585 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Philip Kuzmeski ("P. Kuzmeski") and Martha Kuzmeski ("M. Kuzmeski") hereinafter collectively referred to as "Claimants": Kevin T. Hoff

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-08584 UBS Financial Services, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Robert Wakeling Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Services, Inc., hereinafter referred to as "Claimant": Deborah H. Gottlieb, Esq., Davidson & Grannum LLP, Northvale, New Jersey. Ro

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steve Paige, Claimant v. Robert J. Posillico, Richard R. Borgner and Yankee Financial Group, Inc., Respondents ' Robert J. Posillico, Counter-Claimant v. Steve Paige, Counter-Respondent Case Number: 03-08577 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customer v. Member and Associated Persons Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Co