NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06897 United Securities Alliance, Inc., Claimant v. Craig Otteson, Respondent. ATTORNEYS: For Claimant, United Securities Alliance, Inc., ("Claimant"), appeared Carla B. Minckley, Esq., of the firm Birge & Minckley, P.C., Denver, CO. Respondent, Craig Otteson, ("Respondent"), appeared pro se, McKinney, TX. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 23, 2003

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Claimant UBS Financial Services Inc. vs. Respondent Michael Crotty Case Number: 03-06895 SITUS: Raleigh, North Carolina NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES: Claimant UBS Financial Services, Inc. file/a UBS PaineWebber, Inc., hereinafter referred to as "Claimant", was represented by Laura Martin, Esq., Davidson, Manchel & Brennan, LLP, Nor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: -Name nf thp Marilyn H.Metzelaar Names nf thff Pp-gpnndente Prudential Equity Group, LLC E. Thomas Mathew Case Number! 03-06894 ng Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer v. Member and Associated Person. RFPRFSFNTATTON OF PARTIES Claimant, Marilyn H. Metzelaar, hereinafter referred to as "Claimant", was represented by Jeffrey S. Goddess,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitzation Between Name of Claimants James D. Brodersen; James D. Brodenen as IRA beneficiary; James D. Brodeisen as Trustee of James D. Brodersen, M.D., Inc. Employees Defined Benefit Pension Plan & Trust; James D. Brodersen as custodian for Ann E. Brodersen, Timothy J. Brodersen and John R. Brodersen; Ann E. Brodersen; Aim E. Brodersen as IRA beneficiary; Timothy J. Brode

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: ^ of the riaimants f!ase Number: 03-06893 Morton Rosen Rochelle C. Rosen Name nf the Resprmrtentsi Hearing Site: Philadelphia, PA Morgan Stanley DW, Inc. Larry A. Wanerman Nature of the Dispute: Customers vs. Member and Associated Person. RFPRF.SF.NTATTON OF PARTTRS Claimants, Morton Rosen and Rochelle C. Rosen, hereinafter collectively referred to as "Cla

AWARD NASD Regulation, Inc. OfiSce of Dispute Resolution In the Matter of the AibitrBtion Between Shirley K. Zortman Living Trust, Claimant, V. 95-5102 Edward D. Jones ft Co., and Darin D. Cook, Respondents. BEPRRSEWTATTQW OP PAimtS Chunuuit Sluricy K. Zortman Uving Trust ("Chumant") was represented by Jane L. Stafford, Esq., of Watson ft Marshall, L.C., Kansas City, Missouri Respondem Edward D. Jones ft Co. ("Jones") was represetted by H

NASD A WARP NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Stephen B. Piatt Irrevocable Trast et. al. and No. 95-2292 NameofRegpondentg Prudential Securities Inc. ABrayton Can]bell,Jr. Name of Third party Claimants Pnidential Securities Inc. A Brayton Cambell, Jr. and Stephen B. Piatt and Stephen St. Clair RgWffiSENTATION OF VAUTTV& Stephen B. Piatt Irrevocable Trust FBO Heather Piatt Prudential

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Edward P. Knoll vs. Name of Respondents A.G. Edwards & Sons, Inc., Richard A. Ceffalino and William Zurek Arbitration Number: 03-06885 Hearing location: Chicago, Illinois Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Edward P. Knoll, ("Claimant"), was represented by Erwin Cohen, Esq., of Cohen & C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of tlie Aifoitradon Between Name of Claimant WUliam E. Adams 93-03968 NameofReroondent Hibbard Brown & Co., Inc. CASE SIMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Sq)tember 30,1993, CUumant William B. Adams, who appeared Pro Se, alleged that Respondent Hibbard Biown & Co., Inc., tluough its legistered lepiesentative, Jason Leffel, reco

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anthony J. Kaywood (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Douglas Kentfleld, and Thomas H. Brown, III (Respondents) Case Number: 03-06877 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Anthony J. Kaywood ("Kaywood") hereinafter referred to as "Clai