Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gulabben B. Patel, Claimant v. Wells Fargo Investments, LLC, and Sean Chatman, Respondents Case Number: 03-05360 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: David M. McKim, Esq. Law Offices of David M. McKim San Mateo, California For Respondents: Robert T. Sullwold, Es

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wedbush Morgan Securities, Inc., Claimant v. Rene Henriksen, Respondent Case Number: 03-05359 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondent: Judy Louie, Esq. Wedbush Morgan Securities, Inc. Los Angeles, California Thomas E. Francis, Esq. Bohm, Francis, Kegel & Ag

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wilbert H. McGaw, TTEE McGaw Family Trust and McGaw Family Residual Trust, Claimant v. Prudential Securities, Inc. and David Sear, Respondents Case Number: 03-05356 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: R. Craig Zafis, Esq. R. Craig Zafis, APC San Diego, Californi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lila Faria Individually and as Trustee of the Lila Faria Living Trust dtd 6/2/00, Claimants v. UBS Paine Webber Inc. (n/k/a UBS Financial Services Inc.) and George S. Sellers, Jr., Respondents Case Number: 03-05355 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Thomas C.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Camilla P. Ross, individually and as beneficiary of the Camilla P. Ross IRA, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc, and Perry A. Zeigler, Respondents Case Number: 03-05353 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Mitchell S. Ostwald, Esq. Law Offices of Mitche

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ; Eli Weinstein, Rivky Weinstein, Rivky Bichler, Fischel Goldberg, and Derech Emuna (Claimants) v. J.P. Turner & Co., LLC and Richard M. Berteletti, Jr. (Respondents) Case Number: 03-05352 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Eli Weinstein ("E. Weinstein"), Rivky Weinstein ("R. Weinstei

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Donna J. Connelly, Individually and as Trustee of the Donna J. Connelly Revocable Trust, the Donna Connelly Grantor Retained Annuity Trust, and the Donna J. Connelly IRA, Patricia Gruska and Michael Connelly, Individually and as Trustees of the Dennis Connelly Family Trust and Case Number: 03-05338 Hearing Site: Detroit, Michigan Respondents M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Roslyn Stutz lonta Case Number: 03-05334 Names of tbe Respondents Advest, Inc. Robert Feldman Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTTF.S Claimant, Roslyn Stutz lonta, hereinafter referred to as "Claimant", was represented by Vicki Kuftic Home, Esq., Attor

r NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05329 Robert H. Burch, Claimant v. Brown & Co. n/k/a J.P. Morgan Invest, LLC and Dreyfus Brokerage Services, Inc., Respondents. ATTORNEYS: Claimant, Robert H. Burch, ("Claimant"), appeared pro se, Collegeville, PA. For Respondents, Brown & Co. n/k/a J.P. Morgan Invest, LLC and Dreyfus Brokerage Services, Inc., ("Respondents"), appeared Jayme L. Butcher, Esq., of the firm Reed Smith LLP

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case Number 03-05328 Morton and Linda Resnicoff Name of the Respondent Hearing Site- Philadelphia, PA Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Michael Engel Nature of the Dispute: Customer vs. Member and Associated Person. RFPKFSFNTATTON OF PAKTTKS Claimants, Morton and Linda Resnicoff, hereinafter referred to