Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Luigi Chinetti (Claimant) v. A.G. Edwards & Sons, Inc. and Calvin Coburn (Respondents) Case Number: 03-08519 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Luigi Chinetti ("Chinetti") hereinafter referred to as "Claimant": Kevin T. Hoffinan, Esq., Law Offices of Kevin T. Hoffman, Greenwi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08518 Eleonora Bedoya, Claimant vs. E*Trade Professional Trading and Weston Trading Group, Respondents ATTORNEYS: Claimant Eleonora Bedoya ("Claimant") appeared pro se, Miami, FL. For Respondent E*Trade Professional Trading ("E*Trade"), appeared John Bersin, Esq., in- house counsel, E*Trade Professional Trading, Rancho Cordova, CA. Respondent Weston Trading Group ("Weston") did not submi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Chapman Enterprises (Claimant) v. Christopher Martin Murray, Michael P. Murphy, Murjen Financial, Inc. and Olympia Asset Management, Ltd. (Respondents) Case Number: 03-08517 Hearing Site: Columbus, Ohio Nature of the Dispute: Customer v. Members and Associated Persons. REPRESENTATION OF PARTIES Claimant Chapman Enterprises ("Chapman") hereinafter referred to as "Claimant"

Award NASD Dispute Resolution 1 , In the Matter of the Arbitration Between: Name of trie Claimant Jerry Ligon Name of the. Respondents Morgan Stanley DW, Inc. and Louis Mollinary Case Number: 03-08515 Hearing Site: Albuquerque, New Mexico Nature of the Dispute: .Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES 'Jerry'Lfgorr. ("Ligp'rT'), hereinafter referred, to as "Claimant;":, .Sam Bregman, Esq. of The

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Mary McFadden Sexton Case No. 00-01680 Name of Respondent SunTrust Equitable Securities Corp Hearing Site: Washington, DC REPRESENTATION OF PARTIES Claimant, Mary McFadden Sexton: Stephen M. Seeger, Esq., James J. Faughman, Esq., and Nicola Y. Whiteman, Esq., Quagliano & Seeger, Washington, DC. Respondent, SunTrust Equitable Securities Corp: Joe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 03-08511 Elizabeth J. Kirsch and Douglas A. Drake Name of the Respondents Hearing Site: Chicago, Illinois Morgan Stanley DW, Inc., and John L. Hoffman NATURE OF THE DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Barry D. Estell, Esq., with law offices located in Mission, Kansas, represented Claimants El

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Douglas C. Basil, Claimant v. TD Waterhouse Investor Services, Inc., Respondent Case Number: 03-08509 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Richard Bryson, Esq. Law Offices of Richard Bryson Lakewood, California For Respondent: John L. Erickson, Jr., Esq. Jones, Bell, Abbott, Fleming & Fitz

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert A. Mitteldorf, individually and as trustee for The Mitteldorf Family Trust dated 8/8/88 Claimants v. Janney Montgomery Scott LLC and Zvi 7.m, Respondents Case Number: 03-08505 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants Robert A. Mitteldorf and The Mitteldorf Family Trust: B

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John C. Carter and Diane K. Carter, Claimants v. Salomon Smith Barney Inc. n/k/a Citigroup Global Markets, Inc., Diane K. Doolin-Perez, and Frank E. Pelton, III, Respondents Case Number: 03-08503 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: John C. Carter In Propria Per

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claimants Phyllis T. Jones Phyllis T. Jones Trust Names UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc. Kelly Budd Tinsley Russ Norfleet Britton Case "Number 03-08497 Hearing Site- Raleigh, North Carolina Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIF.S Claimants, Phyllis T. Jones and Phyllis T. Jones