Award NASD Dispute Resolution In the Matter of the Arbitration Between: Daniel Barnathan (Claimant) vs. Samuel Tomashover, Harvey Feldman : Jeffrey Cahn, Kirsten Cody, and Clearing House Services of America, Inc. (Respondents) Case Number: 04-00881 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Persons and Member REPRESENTATION OF PARTIES Claimant Daniel Barnathan hereinafter referred to as "Claimant": Scott L. W

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02939 Joseph B. Lesko on behalf of the Joseph B. Lesko IRA Names of the Respondents Hearing Site: Washington, D.C. Oppenheimer& Co., Inc. Gerald Jevic Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joseph B. Lesko on behalf of the Joseph B. Lesko IRA, hereinafter referred to as "Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00838 Michael F. Little, Individually, on behalf of his IRA and as trustee of the JP Little Trust and MF Little Trust Name of the Respondent Hearing Site: Atlanta, Georgia Fidelity Brokerage Services LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Michael F. Little, Individually, on behalf of his IRA and as trust

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant UBS Financial Services, Inc. vs. Name of Respondent Edwin Nicholas Bastian Case Number: 06-02271 Hearing Site: Houston, Texas NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimant" or "UBS") was represented by Mark A. Rosen, Esq., Davidson & Grannum, LLP, Boston, Massachusetts.

AMENDED STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Eugenia Alba vs. Case Number: 02-00677 Hearing Site: Chicago, Illinois Names of Respondents Stifel, Nicolaus & Co., Inc., Dalyne Shinneman, Michel Schenone, Kathleen Michael, David Hogan, and Edward Poth NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Eugenia Alba ("Alba" or "Claim

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant UBS Financial Services, Inc. vs. Case Number: 06-02416 Hearing Site: Chicago, Illinois Name of Respondent Joseph P. Holohan NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimant" or "UBS") was represented by Mark A. Rosen, Esq., Davidson & Grannum, LLP, Boston, Massachusetts. Jose

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mary Joanne Feltl, as Personal Representative of the Estate of John E. Feltl vs. Case Number: 06-03409 Hearing Site: Minneapolis, Minnesota Name of Respondent Miller Johnson Steichen Kinnard, Inc. NATURE OF THE DISPUTE Non-Member vs. Member REPRESENTATION OF PARTIES Mary Joanne Feltl, as Personal Representative of the Estate of John E. Feltl ("Cl

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Hong Quo vs. Name of Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Case Number: 05-04329 Hearing Site: Indianapolis, Indiana NATURE OF THE DISPUTE Associated Person v. Member REPRESENTATION OF PARTIES Hong Guo ("Guo" or "Claimant") was represented by Denise K. LaRue, Esq., Haskin Lauter LaRue & Gibbons, Indian

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Byoung Im vs. Case Number: 04-06685 Hearing Site: Houston, Texas Names of Respondents J.P.R. Capital Corp., Paul Umansky, and Hong Joon Chun NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Byoung Im ("Claimant") was represented by Jeffrey S. Kruske, Esq., Jeffrey S. Kruske, PA, Overland Park, Kan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gary A. Wassel, IRRA, and Gary A. Wassel Trust U/A DTD 02/03/95, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Frederick C. Wong, Respondents Case Number: 05-05179 Hearing Site: Honolulu. Hawaii Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Margery S. Bronster, Esq. Bronster Crabtree & Hosh