STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants George E. Baker and Kathleen D. Baker v. 03-05988 Denver, Colorado Respondents Raymond James Financial Services, Inc., and Fred L. Dowd Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES George E. Baker and Kathleen D. Baker ("Claimants") were represented by Steve A. Miller, Esq., of Steve A. Miller, P.C., D

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Nanci K. DeLong and Case Number: 03-05985 Hearing Site: Troy, Michigan Respondents Morgan Stanley DW, Inc., Jacqueline A. Antone, James G. Riley, Theodore J. Vogt, Jr., and Fifth Third Securities, Inc. NATURE OF DISPUTE Customer v. Members and Associated Persons REPRESENTATION OF PARTIES Nanci K. DeLong ("Claimant") was represented by Peter A. Patters

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Ciluaga, LaBerta Ciluaga, and Cynthia Eberline-Ciluaga, Claimants v. Morgan Stanley DW Inc. and Stephen D. Wile, Respondents Case Number: 03-05982 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Dennis M. Chamey, Esq. Attorney and Counselor at Law Boise, Idaho For

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05981 James A. Booker, Sr., Thelma M. Booker, and James A. Booker, Jr. JNT, Claimant v. Wells Fargo Investments, LLC and Richard D. Byrd, Respondents. ATTORNEYS: Claimant, James A. Booker, Sr., Thelma M. Booker, and James A. Booker, Jr. JNT, ("Claimant"), appeared pro se, Slidell, LA. For Respondents, Wells Fargo Investments, LLC, and Richard D. Byrd, ("Respondents"), appeared Mark S. Fl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Feldsted, Claimant v. LH Ross & Company, Inc., Kristian F. Sierp, Franklyn R. Michelin, and Charles P. Celestin, Respondents Case Number: 03-05979 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Chris R. Youtz, Esq. Sirianni Youtz Meier & Spoonemore Seattle, Washington For R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05970 Jacob B. Bushwell, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Jacob B. Bushwell, ("Claimant"), appeared Wm. Jemison Mims, Jr., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner, & Proctor, P.A., Pensacola, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared Luther M. Dorr, Jr., Esq., of the firm

NASD DISPUTE RESOLUTION AWARD KASD DISPUTE RESOLUTION CASE: 03-05969 Martin McNulty, Claimant v, UBS Financial Services, Inc. #kfa UBS PaineWebber, Inc., Respondent ATTORNEYS: Claimant, Martin McNuhy, ("Claimant"), appeared pro sc. Lynn, MA. Respondent, UBS Financial Services, Inc. ftk/a UBS PaineWebber, Inc., ("Respondent"), appeared through its in-house counsel Heather A. Wright, Esq., New York, NY. NATURE OF DISPUTE: Customer v. Member DATE F

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald S. Kaplan, Aaron Kaplan Custodian Account, June Mayor, Lisa Kaplan Gordon and Gregory Gordon (Claimants) v, Prudential Equity Group, LLC, f/k/a Prudential Securities, Inc. and Paul C. Merenbloom, (Respondents) Case Number: 03-05968 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claima

Award NASD Dispute Resolution In the Matter of the Arbitration Between: =* Everett Carbajal and Everett Carbajal IRA (Claimants) v. Citigroup Global Markets, Inc. fk/a Salomon Smith Barney, Inc. (Respondent) Case Number: 03-05965 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member. REPRESENTATION OF PARTIES Claimants Everett Carbajal ("Carbajal") and Everett Carbajal IRA ("Carbajal IRA") hereinafter collectively referred

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: Sky King Unlimited, Inc. 01-01626 Names of the Respondents Hearing Site: UBS PaineWebber, Inc. and Charles Duffy Boca Raton, FL REPRESENTATION OF PARTIES For Sky King Unlimited, Inc., hereinafter referred to as "Claimant": Lloyd R. Schwed, Esq., Kubicki Draper, West Palm Beach, FL. For Respondent UBS PaineWebber, Inc. ("PW"): Sara Soto, Esq., Fowler