Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven J. Laborde and Angelo J. Colello, Claimants v. G&W Equity Sales, Inc., Respondent Case Number: 03-07324 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Steven J. LaBorde and Angelo J. Colello, hereinafter referred to as "Claimants": Richard C. Szuch, Esq., Lowenstein Sandier PC, Roseland, New Jersey. Respondent, G&W Equity Sales, Inc., hereina

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Raymond James Financial Services, Inc. (Claimant) v. Theodore Pena (Respondent) Case Number: 03-07323 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Raymond James Financial Services, Inc. ("RJFS") hereinafter referred to as "Claimant": Leslie A. Reese, Esq., Raymond James Financial Services, Inc., St. Petersbu

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Mirgliotta and Bette Mirgliotta (Claimants) v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Dominic Tomaro (Respondents) Case Number: 03-07322 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants James Mirgliotta ("J. Mirgliotta") and Bette Mirgliotta ("B. Mirgliott

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07321 Eric Sohn, Claimant v. All-Tech Direct, Inc., Respondent. ATTORNEYS: Claimant, Eric Sohn, ("Claimant"), appeared pro se, Auburn, WA. Respondent, All-Tech Direct, Inc., ("Respondent"), did not submit an answer in this case. NATURE OF DISPUTE: Customer v. Terminated Member DATE FILED: October 9, 2003 CASE SUMMARY: Claimant alleged that Respondent over-charged commissions on a market

02/06/2004 16:07 FAX NASD REGULATION NASD DISPUTE RESOLUTION AWABtD NASD DISPUTE RESOLUTION CASE: 03-07320 Salvatore Abbattiello, Claimant v. Credit Suisse First Boston Corporation, Respondent. ATTORNEYS: For Claimant appeared James A. Batson, Esq., of the firm Liddle & Robinson, L.L.P., New York, NY. For Respondent appeared Richard S. Boris, Esq., of the firm Moss & Boris, P.C., New York, NY. NATURE OF DISPUTE: Associated Person v. Member DATE

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-07315 Doris Brinn Names of the Respondents Hearing Site: Orlando, Florida FMSBonds, Inc. Andrew Blum Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Doris Brinn, hereinafter referred to as "Claimant": Andrea Brinn, Persona] Representative, Chapel Hill, North Carolina. For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Victor Mizrahi and Laurie Mizrahi Names of the Respondents Citigroup Global Markets f/k/a/ Salomon Smith Barney Inc. and Arthur T. Polner Case Number: 03-07312 Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Victor Mizrahi and Laurie Mizrahi, hereinaft

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Marc D. Manoff and Cynthia L. Manoff, (Claimants) vs. National Discount Brokers, (Respondent) er. 00-01527 ing Site- Philadelphia, Pennsylvania Claimants, Marc D. Manoff ("M. Manoff') and Cynthia L. Manoff ("C. Manoff'), hereinafter collectively referred to as "Claimants": Glenn S. Gitomer, Esq., McCausland, Keen & Buckman, Radnor, PA. Respondent, National Discount

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-07305 Marjorie A. Fuller Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith Incorporated Terry K. Glenn Merle P. Levy Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES For Marjorie A. Fuller, hereinafter referred to as "Claimant": Michael T. Robertson,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas Zengage and C. Tait Ratcliffe (Claimants) v. UBS Securities, LLC f/k/a UBS Warburg, LLC, UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc., Frank Hsin, Brett Grimes, and Raymond Bressoud (Respondents) Case Number: 03-07304 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimants Thomas