NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-04991 UBS/PaineWebber, Inc., claimant vs. Greg Rand and Lisa Rand, respondents. ATTORNEYS: For Claimant appeared Lisa A. Catalano, Esq., of the Law Offices of Joel E. Davidson, Park Ridge, NJ. Respondents did not respond to the Statement of Claim. DATE FILED: September 24, 2001 CASE SUMMARY: Claimant alleged that respondents deposited checks into their account that were returned

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: DFM Holdings, LP, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Francis X. Malone, III, Respondents Case Number: 03-06337 Hearing Site: Los Angeles, Califomia Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Daniel J. Kessler, Esq. Bm-khalter, Michaels, Kessler & George Irvine, Califom

stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roger and Beverly Suied (Claimants) v. Andrew F. Winning, David Callot, and Merrill Lynch Pierce Fermer & Smith, Inc. (Respondents) Case Number: 03-06330 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. RF.PRESENTATION OF PARTIES Claimants Roger Suied and Beverly Suied hereinafter collectively referred to as "Claimants"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Clfiimant Pasp Nnmhpr- 03-06343 Edwin R. Fisher Nnmes nf thr Rt^sppndcnts Hpnring Site- Pittsburgh, PA Citigroup Global Markets, Inc. f/k/a Salomon Smith Bamey, Inc. Cheryl R. Schwarzwaelder Nature of the Dispute: Customer vs. Member and Associated Person. RFPRFSFNTATION OF PARTTFS Claimant, Edwin R. Fisher, hereinafter referred to as "Claimant", was represen

Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sayed A. Khattab, (Claimant) vs. Prudential Securities Inc. and Edward J. McCormick, (Respondents) Case Number: 99-00349 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Sayed A. Khattab, heremafter referred to as "Claimant", appeared pro se. Previously represented by: Cirino M. Bruno, Esq., Gusrae, Kaplan & Bruno, PLLC, New York, NY. Respondents,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-00359 Nancy Braiuca, claimant vs. Fidelity Brokerage Services, Inc., respondent. ATTORNEYS: Claimant appeared pro se, Clarksburg, NJ. For Respondent appeared Melissa M. Maloney, Product Manager, Boston, MA. DATE FILED: January 26, 1999 CASE SUMMARY: Claunant alleged that respondent failed to timely cancel an on-line market order for ITGR. Claimant maintained that due to respondent'

Award NASD Dispute Resolution hi the Matter of the Arbitration Between: NamR nf the riaimant Barbara Alexander Baroody, IRA Name nf ths RftspnnHent Davenport & Company, LLC CasR Nnmhffr- 02-00300 Hflaring Sitft- Richmond, Virginia Nature of the Dispute: Customer vs. Member. l^FPRFSFNTATTON OF PAT?TTP.S Claimant Barbara Alexander Baroody, ERA, hereinafter refened to as "Claimant", was not represented by counsel. Respondent Davenport &

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-06410 Jack Maga, Mary Grace Maga, Cynthia Navarra, Jack Maga IRA, Mary (jrace Maga IRA, Bradley Navarra Custodial Account, and Lindsay Navarra Custodial Account Names of the Respondents Hearing Site: Pittsburgh, PA Fidelity Brokerage Services, LLC David E. Martin and The Network for Financial Independence Nature o

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Murray and Paula Schwartz, Murray Schwartz TTEE of Target Benefit Plan of Murray Schwartz, and Murray Schwartz, IRA, (Claimants) vs. J.P. Morgan Securities, Inc. and J.P. Morgan Chase & Co., (Respondents) Case Number: 01-06329 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Murtay and Paula Schwartz ("Schwartz"), Murtay Schwartz TTEE of Target Benefit Plan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald and Stacey Redmond, and Ronald Redmond IRA (Claimants) v. Morgan Stanley Dean Witter and Vincent Forma (Respondents) Case Number: 01-06189 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Ronald and Stacey Redmond ("R. & S. Redmond"), and Ronald Redmond IRA ("R. Redmond IRA"), hereinafter