Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants CasaNumher: 03-07158 Lee R. Petty, individually, and as Personal Representative of Deborah Petty Names of the Respondents Hearing Site- Baltimore, Maryland Daron D. Fullwood Charles C. Heyward, Jr. Sean Wintz UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc. Nature of the Dispute: Customers vs. Member and Associated Persons RF

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Michael L. Rosenkrantz, individually and on behalf of his IRA and Roth Conversion IRA Names of the Respondents American Express Financial Advisors, Inc. William J. Rogers Case Number: 03-06462 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Michael L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Philip Yutan, MD; Philip Yutan M.D., Inc. Retirement Trust dtd 01/01/88; Geok Wa Yutan and Elaine U. Yutan JTTEN; Geok Wa Yutan and Paul U. Yutan JTTEN; Geok Wa Yutan and Elizabeth Yutan JTTEN; Vasanth K. Kumar, MD; Vasanth K. Kumar, MD, IRA Rollover dtd 04/12/00; Meera V. Kumar; Meera V. Kumar IRA dtd 04/14/83; B.J. Patel, M.D.; Patel Living Trust UA dtd 09/09/88; N&B Patel M.D. In

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05739 Martin and Shirley Lerner JTWROS, Claimant v. Spear, Leeds & Kellogg and Carlin Equities, Respondents. ATTORNEYS: ~~ Claimant, Martin and Shirley Lerner JTWROS, ("Claimant"), appeared pro se, Ramat Bet Shemesh, Israel. Respondents, collectively "Respondents": For Respondent, Spear, Leeds & Kellogg, ("SLK"), appeared Ida Wurczinger Draim, Esq., of the firm Dickstein Shapiro Mori

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gary D. Zimmerle, Claimant v. Morgan Stanley DW, Inc and Mark Shupe, Respondents Case Number:- 03-05715 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant, Gary D. Zimmerle ("Zimmerle"), hereinafter referred to as "Claimant": John J. Miller, Esq., Kansas City, Missou

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Earl Williams and 03-05314 Chicago, Illinois Name of Respondents H&R Block Financial Advisors, Inc. f/k/a Olde Discount Corporation Brandon Self Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Earl Williams ("Claimant") appeared Pro Se. H&R Block Financial Advisors, Inc. f/k/a Olde Discount Cor

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Richard Serbin, (Claimant) vs. CIBC Oppenheimer Corporation, (Respondent). Case Number: 99-02328 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Richard Serbin, hereinafter referred to as "Claimant": Richard L. Rothfelder, Esq. and Michael C. Falick, Esq., Fothfelder & Falick, LLP, Houston, Texas and J. Randle Henderson, Esq., Houston, Texas. Respondent, CIBC Oppe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Nicholas Moss Names of the Respondents Morgan Stanley DW Inc. Mark D. Fendrick Case Number- 03-04984 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATTON OF PARTTF.S Claimant Nicholas Moss, hereinafter referred to as "Claimant", was represented by Michael Willner and Michael

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert W. Baird & Co., Inc. (Claimant) v. Thomas L. Costantiello (Respondent) Case Number: 03-04748 Hearing Site: Columbus, Ohio Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant Robert W. Baird & Co., Inc. ("Baird") hereinafter referred to as "Claimant": Moira K. Moran, Esq., Robert W. Baird & Co., Inc., Milwaukee, WI. Respondent Thomas L. C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: RJ Investment and Horriat Revocable Trust, Claimants v. Prudential Securities Incorporated, Ebbert Ashby Jones, and Christopher A. Schilling, Respondents Case Number: 03-03607 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Irving M. Einhorn, Esq. Law Offices of Irving M. Einhorn