Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: William C. Cliff and Natalie L. Cliff, Claimants v. UBS Financial Services, Inc. and Steven A. Hild, Respondents Case Number: 03-06251 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: William C. Cliff Natalie L. Cliff San Ramon, California For Respondent UBS Financ

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Tuaha Mian Claimant(s) vs. AWARD 89-00603 Prudential-Bache Securities, Inc. and Stuart Kosloff Respondent(s) NOTICE OP ARBITRATION CASE SUMMARY Claimant(s) Tuaha Mian alleged that Respondent(s) Prudential-Bache Securities, Inc. and Stuart Kosloff overcharged commissions. Respondent(s) deny any agreement with the Claimant to charge only fifty p

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Johnny E. and Bernice A. Crowden vs. Case Number: 05-5068 Hearing Site: St. Louis, Missouri Names of Respondents Edward D. Jones & Co., L.P. and Kim D. Charles NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Johnny E. and Bernice A. Crowden ("Crowdens" or "Claimants") were represented by Richard B. Fos

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Leedy (Claimant,) vs. UBS Financial Services, Inc. (Respondent) Case Number: 06-02044 Hearing Site: Columbus, Ohio Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant John Leedy hereinafter referred to as "Claimant": David P. Meyer, Esq., David P. Meyer & Associates Co., LPA, Columbus, OH. Respondent UBS Financial Services, Inc., hereinafter refer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Paul Satterfield and Toy Satterfield Names of the Respondents Whale Securities Co., L.P. n/k/a Bluestone Capital Corp., Evan E. Gappelberg, William George Walters, Donald Joseph O'Connor, William Joseph McSherry and George Karrunkel Case Number: 99-05501 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associ

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant The Agean Group, Inc. Case No. 99-04133 Name of Respondent Stephen Elliot Sokoloff REPRESENTATION OF PARTIES For The Agean Group, Inc. ("Agean") hereinafter referred to as "Claimant": Neil S. Baritz, Esq. of the law firm of Dreir and Baritz, LLP, Boca Raton, Florida. Respondent Stephen Elliot Sokoloff (''Sokoloff"), hereinafter referred to as "Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Diane Simmons 94-04147 Name_o.f Respondents Gruntal & Co., [nc. Donald J. Giantonio CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 6, 1994, Claimant Diane Simmons ("Claimant"), who appeared Pro Se, alleged that Respondent GruntaJ & Co., Inc., through its account executive,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter ofthe Arbitration Between Name of Claimant(s) Robert & Sandra J. Van Langen 96-02334 Name of Respondent(s) G.R. Phelps & Company, Inc. REPRESENTATION For Claimants Robert & Sandra J. Van Langen ("the Van Langens"): Michael Casey, Esq. of Casey and Molchan, P.A., Ft. Lauderdale, FL. For Respondent G.R. Phelps & Company, Inc. ("G.R. Phelps"): Daniel Schwartz, Esq. of Day.

NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Alexander and Andromachy Theoharous Names of Respondents Janney Montgomery Scott, Inc. C. Lance Bailey Case No. 98-04617 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Alexander and Andromachy Theoharous ("Theoharous") hereinafter collectively referred to as "Claimants": Eugene Michael Kennedy, Esq., Fort Lauderdale, Florida. For Ja

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Howard and Eleanor Wisse, Trustees of the Wisse Family Trust, Dated 8/11/83 NASD Arbitration No.92-02584 Name of Respondent(s) M.L. Stem & Co., Inc. For Claimant: Howard Wisse, Woodland Hills, California For Respondent: Paul H. White, M.L. Stem & Co., Inc., Beverly Hills, California CASE INFORMATION Statement of