NASD DISPUTE RESOLUTION AWARD NASDMSFIJIERESOLtri^ON . CASE: 03-05207 Brian P. Shaw, Claimant v. Jefferies & Company Inc., Respondent ATTORNEYS: Claimant, Brian P. Shaw, ("Qattnant"), appeared pro se, East Windsor, NJ. Respondent, JefFeries & Company Inc., ("Respondent"), appeared through its in-house counsel Judith O. Kaster, Esq,, Los Angeles, CA. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: July 16, 2003 CASE SUMMARY: Claimant a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, Inc. f/k/a First Union Securities, Inc. (Claimant) v. Ilia Steven Zeidenfeld, Jr. (Respondent) Case Number: 03-05206 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, Inc. f/k/a First Union Securities, Inc. hereinafter referred to as "Claimant": Renan Sugarman, Esq.,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01541 Jean Gilhart, claimant vs. Salomon Smith Barney Inc., and Alex Muscat! Ill, respondents. ATTORNEYS: Claimant appeared Pro Se, Clearwater, FL. For Respondents Salomon Smith Barney, Inc. and Alex Muscat! Ill appeared Ann Parry, Senior Vice-President and Associate General Counsel, New York, NY. DATE FILED: March 28, 2001 CASE SUMMARY: Claimant alleged that respondent Salomon Smit

Award NASD Dispute Resolution, Inc. ORIGINAL In the Matter of the Arbitration Between: Lester Herman, Kimi Herman, David W. Couch, Christine A. Couch, Leslie L. Briley, Jr., Travel Shoppers, Inc., Herman Pettegrove, Jack W. Godebu, Lena K. Godebu, Frank D. Talbott, and Patricia J. Talbott, Claimants v. Wedbush Morgan Securities, Inc., Inc., Long Securities Corporation n/k/a Long Securities Corporation n, Lawrence Sherman Jay, Thomas William Scott, and J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Matthew M. Gourlay (Claimant) v. UBS Warburg, LLC n/k/a UBS Securities, LLC (Respondent) Case Number: 03-05204 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Matthew M. Gourlay ("Gourlay") hereinafter referred to as "Claimant": Paul T. Shoemaker, Esq., Greenfield Stein & Senior, LLP, New York, NY. Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc. (Claimant) v. David Ritter and Stacey Rosenblatt (Respondents) Case Number: 03-05200 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customers. REPRESENTATION OF PARTIES « Claimant Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kan

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Susan P. Hollern, Trustee of the William H. Price, E, Trust v. 03-05197 Denver, Colorado Respondents Wachovia Securities, LLC and Randall S. Russell Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Susan P. Hollern, Trustee of the William H. Price, n, Trust, ("Claimant") was represented by Michael G. Martin, Esq., and Susa

STIPULATED AWARD NASD DISPUTE RESOLUTION _J.n theJto&eLQf^ ....... _ ...... ____ ................ Name of Claimant Roy D. Cole Case No: 03-05193 Names of Respondent Hearing Site: Houston, Texas A.G. Edwards & Sons, Inc. NATURE OF THE CASE Associated Person v. Member Firm REPRESENTATION OF THE PARTIES Roy D. Cole ("Claimant") was not represented by counsel. A.G. Edwards & Sons, Inc. ("A.G. Edwards") was represented by Nuviah Shirazi,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Gregory Bierals, individually, on behalf of his IRA and as trustee of Electrical Design Institute, Inc. Names of the Respondents Investacorp, Inc. Steven Jay Fraidstern Case Number: 03-05187 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Gregory

Award NASD Dispute Resolution In the Matter of the Arbitration Between: i Name of the Claimant Case Number: ! 03-05186 Wachovia Securities, LLC Name of the Respondent Hearing Site: Chicago, Illinois Sara Aiping Eng NATURE OF THE DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Renan Sugarman, Esq., with Law Offices located in Chicago, Illinois, represented Claimant Wachovia Securities, LLC, (Wachovia). Gregory J. Abbott