Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Tim and Leisa Jackson Overseas Dealers, Inc. Name of the ! 03-07978 Hearing Site- Raleigh, North Carolina GBI Capital Partners, Inc. n/k/a Ladenburg Capital Management, Inc. Nature of the Dispute: Customers vs. Terminated Member. REPRESENTATION OF PARTIES Claimants, Tim and Leisa Jackson and Overseas Dealers, Inc., hereinafter collectively

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Joan Sands Case No. 00-01605 Name of Respondents Patsy Green Stullenbarger First Union Securities, Inc. Hearing Site: Baltimore, MD REPRESENTATION OF PARTIES Claimant, Joan Sands ("Sands"): Raymond F. Weston, Esq., Trozzo, Lowery & Weston, LLC, Cumberland, MD. Respondents, Patsy Green Stullenbarger ("Stullenbarger") and First Union Securitie

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Bear Stearns & Co., Inc. (Claimant) vs. Jack Roubinek (Respondent). Case Number: 98-04677 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Bear Stearns & Co., Inc. ("Claimant"): Cheryl Jerome Moore, Esq. and David R. Clouston, Esq., Arter & Hadden LLP, Dallas, Texas. Respondent. Jack Roubinek. ("Respondent): represented himself and did not appear at the hearing. C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alice A. Moore, Claimant v. Citigroup Global Markets Inc. and John Craig Willson, Respondents Case Number: 03-07975 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Brady Rasmussen, Esq. Roy B. Moore, P.C. & Associate Murray, Utah For Respondents: Milo Steven Marsden, Esq. Dorse

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07962 John Harney, Claimant v. David Alan Stone and United Securities Alliance, Inc., Respondents. ATTORNEYS: For Claimant, John Harney, ("Claimant"), appeared Jill I. Gross, Esq., of John Jay Legal Services, Inc. of Pace University School of Law, White Plains, NY. Respondents, collectively "Respondents": For Respondent David Alan Stone, ("Stone"), appeared Charles Kannebecker, Esq., of the

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Case Number: 03-07960 Hearing Site: Troy, Michigan Names of Respondents Comerica Securities and Ernest J. Romer, III NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Ronald McDonough ("Claimant") was represented by Anthony V. Trogan, Esq., and Lysa Postula-Stein, Esq., Anthony V. Trogan, PLLC, West Bloomfield, M

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Philip Barnett Joan Barnett Names of the Respondents UBS Financial Services, Inc. f/k/a PaineWebber, Inc. Michael Gomberg Raymond R. Giannini Charles C. Giannini Case Number: 03-07956 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Phili

4 t Award NASD Dispute Resolution In the Matter of the Arbitration Between: John "Jack" M Bellevue, Claimant v. The Prudential Insurance Company of America, Respondent Case Number: 03-07954 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: William P. Tedards, Jr. Washington, D.C. Wallace C. Doolittle, Esq. Law Offices of Wallace C. Doolittle Hayward, Cal

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-07953 Maria V. Barnes Maria V. Barnes as Custodian For Maria S. Barnes Maria V. Barnes as Custodian for Frank B. Barnes Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley Dean Witter & Co. Ami Forte i Terry McCoy Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert K. Woolf and the Robert K. Woolf Charitable Trust, Claimants v. UBS Financial Services Inc. #k/a UBS Paine Webber, Inc. and Donald Fuhrer, Respondents Case Number: 03-07951 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Eric A. Woosley, Esq. Law Offices of Zilinskas