NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00941 Carine V. Alma, claimant vs. David W. Ormes, respondent. ATTORNEYS: Claimant appeared Pro Se., Garden City, NY. For Respondent appeared Kim Amendola, Compliance Assistant for Ormes Capital Markets, Inc., New York, NY. DATE FILED: March 3, 2000 CASE SUMMARY: Claimant alleged that respondent failed to pay the remaining balance due on a report that he requested. ARBITRAT

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03095 UBS PaineWebber, Inc. n/k/a UBS Financial Services, Inc., Claimant vs. Kelly Doyle, Respondent. ATTORNEYS: ~~~" For Claimant, UBS PaineWebber, Inc. n/k/a UBS Financial Services, Inc., ("Claimant") appeared Laura Martin, Esq. of the firm Davidson, Manchel & Brennan, LLP, Northvale, NJ, formerly represented by Romaine L. Gardner, Esq., Staten Island, NY. Respondent, Kelly Doyle, ("Re

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cassandra S. Kwoh, Claimant v. Salomon Smith Barney n/k/a Citigroup Global Markets, Inc. and Alina Brindusescu, Respondents Case Number: 03-02220 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Irene M. Mak, Esq. Law Offices of Irene M. Mak Woodland Hills, California

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01184 UBS Financial Services Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Daniel Haralson Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Services Inc. ("UBS"), hereinafter referred to as "Claimant": Brent A. Bums, Esq., Davidson, Manchel & Brennan, LLP, Northvale,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: F. James Christie and Nancy H. Christie (Claimants) vs. Morgan Stanley Dean Witter, Inc., Robert Leigh Ace and Lauren Ardeen Werner (Respondents) Case Number: 03-00114 Hearing Site: Buffalo, New York Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants F. James Christie ("F. Christie") and Nancy H. Christie ("N. Christie"), herein

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Douglas P. Makin (Claimant) v. Kaufman Bros., L.P (Respondent) Case Number: 02-06638 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Douglas P. Makin ("Claimant"): Michael E. Grenert, Esq., Liddle & Robinson, L.L.P., New York, New York. Respondent Kaufman Bros., L.P. ("Respondent"): Steven R. Para

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stephen P. Eckert, Diane L. Eckert, Case Number: 02-06355 and Stephen P. Eckert as Beneficiary of the Salomon Smith Barney, Inc. Rollover IRA, Claimants, v. Hearing Site: Indianapolis, Indiana Citigroup Global Markets, Inc. and Brian Deckard, Respondents. Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Stephen P. Eckert,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05634 Virginia Griffith Name of the Respondents Hearing Site: Kansas City, Missouri William Scott Wiley, Invest Financial Corp., Kenneth W. McGovern, and SII Investments. Type of Controversy: Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Barry D. Estell, Esq. with law offices located in Mission, Kansas r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05504 UBS Financial Services, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Luis Pelayo Moran REPRESENTATION OF PARTIES For UBS Financial Services, Inc. ("UBSFSI"), hereinafter referred to as "Claimant": Lisa A. Catlano, Davison, Manchel & Brennan, LLP, Northvale, New Jersey and Melanie Cherdack, Esq., Genovese Lichtman Jo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard L. Harsch, Claimant v. UBS PaineWebber Inc., Patrick M. Ehret, and William Dougherty, Respondents Case Number: 01-03083 REPRESENTATION OF PARTIES For Claimant: Richard L. Harsch In Pro Per San Diego, California For Respondents: Lisa K. Donahue, Esq. UBS PaineWebber Inc. Los Angeles, California CASE INFORMATION Statement of Claim filed: August 13, 2001