AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Lawrence Praml v. 03-09127 Minneapolis, Minnesota Respondent Linsco Private Ledger Corporation Nature of Dispute: Customer v. Member REPRESENTATION OF PARTTES Lawrence Praml ("Claimant") was represented by Harvey H. Eckart, Esq., and Amy M. Leonetti, Esq., of Eckart & Leonetti, P.A., St. Paul, Minnesota. Linsco Private Ledger Corporation ("Respondent") wa

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Howard M. Giroux and llene J. Giroux and Respondents Merrill Lynch, Pierce, Fenner& Smith, Inc., Mark W. Bublitz, Deborah Corson, and Michael Livernois Case Number: 03-09125 Hearing Site: Troy, Michigan NATURE OF DISPUTE Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Howard M. Giroux and llene J. Giroux ("Claimants") were rep

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lee Nordstrom and Lee Nordstrom IRA, Claimants v. Wachovia Securities, LLC, Robert W. Baird & Co. Incorporated, and Alan A. Gildenberg, Respondents ' Case Number: 03-09118 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimants Lee Nordstrom and Lee Nordstrom IRA: For Respondent Wac

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph R. Bybee and Carole F. Bybee (Claimants) v. American Express Financial Advisors, Inc. and Barbara Wallis (Respondents) Case Number: 03-09116 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Joseph R. Bybee ("J. Bybee") and Carole F. Bybee ("C. Bybee") hereinafter collectively ref

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Grace DiGangi IRA (Claimant) v. Citigroup Global Markets, Inc. i7k/a Salomon Smith Barney, Inc. and Stan Levine (Respondents) Case Number: 03-09115 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Grace DiGangi IRA ("DiGangi") hereinafter referred to as "Claimant": Stephen H. Weiner, Esq., Law Of

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wataru & Helen M. Tanita, individually and as trustees of The Tanita Family Trust and 03-09105 Phoenix, Arizona Name of Respondents UBS Financial Sen-ices Inc. f/k/a UBS PaineWebber, Inc. Ronald R.Willoughby Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Wataru & Helen M. Tanita, individually

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lewis and Clark College, Claimant v. Blackwell Donaldson & Company, Stephen P. Persad and Joseph M. Blackwell, Respondents Case Number: 03-09096 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Lisa A. Kaner, Esq. David B. Markowitz, Esq. Markowitz Herbold Glade & Mehlhaf,P.C Portl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter T. Gutzan (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Robert J. Cutrupi, and Melanie H. Charron (Respondents) Case Number: 03-09089 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Peter T. Gutzan ("Gutzan") hereinafter referred to as "Claimant": A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ralph Ventra, Ralph Ventra IRA, Ralph Ventra Roth IRA, Ralph Ventra Trustee U/A DTD 2/24/98, and Ventra Operating Corp. D/B/A Van Gogh Movers (Claimants) v. Merrill Lynch. Pierce, Fenner & Smith, Inc. and James F. Bernard (Respondents) Case Number: 03-09088 Hearing Site: New York. New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Walter D. Copeland and Concetta M. Copeland (Claimants) v. Salomon Smith Barney and Todd M. Hoffman (Respondents) Case Number: 03-09087 Hearing Site: Buffalo, New York" Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Walter D. Copeland ("W. Copeland") and Concetta M. Copeland ("C. Copeland") hereinafter collectivel