Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00527 Gary Gross and John Page Name of the Respondent Hearing Site: Boca Raton, Florida UBS PaineWebber, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Gary Gross ("Gross") and John Page ("Page"), hereinafter collectively referred to as "Claimants": Eugene M. Kennedy, Esq., Law Offices of Kennedy

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01561 Mildred V. Fullford, Trustee Names of the Respondents Hearing Site: Orlando, FL Merrill Lynch, Pierce, Fenner& Smith, Inc. Richard Sane Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Mildred V. Fullford, Trustee, hereinafter referred to as "Claimant": Robert Dyer, Esq., Allen, Dyer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Douglas M. Cherry, Lance K. Dyess, Ira J. Edmundson, Jimmy E. Jones, Rachel McKinney, Linda J. Middleton and Victor E. Stafford Name of the Respondent Raymond James & Associates, Inc. Case Number: 05-03030 Hearing Site: Birmingham, Alabama, Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Douglas M. Cherry ("Che

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02495 Richard C. Emerson Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch Pierce Fenner & Smith, Inc. Nature of the Dispute: Associated Person vs. Member. * REPRESENTATION OF PARTIES For Richard C. Emerson, hereinafter referred to as "Claimant": Liam O'Brien, Esq., Liam O'Brien & Associates, New York, New York. F

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert J. Dartez Name of the Respondents Merrill Lynch, Pierce, Fenner & Smith Incorporated Robert Ewing, IV Randy Kirby Case Number: 03-06288 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert J. Dartez hereinafter referred to as "Claimant": S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-05805 George Morgan Marianela Morgan Name of Respondent Hearing Site: Boca Raton, Florida Merrill, Lynch, Pierce, Fenner& Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For George Morgan ("G. Morgan") and Marianela Morgan ("M. Morgan"), hereinafter collectively referred to as "Claimants": Michael S

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name nf Claimants Jamie Tsutsui and Michael Casto and 93-05275 Mama nf "Respondents Castle Securities Corp. Michael T. Studer George R. Hebert QF PARTIES Jamie Tsutsui and Michael Casto ("Claimants") appeared pro se. Castle Securities Corp., Michael T. Studer and George R. Hebert ("Respondents") were represented by Charles M. O'Rourke

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Betty P. Hudson 93-05267 Name of Respondents Oppenheimer & Co., Inc.; John Phillips REPRESENTATION. For Claimant: Betty P. Hudson ("Hudson") was represented by John T. McDowell, Esq. of Bankston & McDowell, located in Houston, Texas. For Respondent: Oppenheimer & Co., Inc. ("Oppenheimer") and John Phillips ("Phillips") were

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Raymond T. Rosati Case # vs. 93-05266 Name of Respondent Guntis Lambergs REPRESENTATION For Claimant, Raymond Rosati ("Claimant"), Bruce S. Bandes, Esq., located in West Sayville, New York. Respondent, Guntis Lambergs ("Respondent") did not appear at the hearing. CASE INFORMATION Statement of Claim was filed on Dece

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant Edward H. Hoglund Case No. 01-02896 Names of Respondents Charles Schwab & Co., Inc. and Janusz Lempicki REPRESENTATION OF PARTIES For Claimant Edward H. Hoglund, hereinafter referred to as "Claimant": Russell C. Silverglate, Esq., Dickenson Murphy Rex and Sloan, 980 North Federal Highway, Suite 410, Boca Raton, Florida 33432. For Res