AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Bonnie Henderson, John M. Kelly and Bonnie Henderson and Leslie M. Frith Custodial Acct, Bonnie Henderson, Custodian and 03-05107 Dallas, Texas Name of Respondents Edward D, Jones & Co. Brent A. Gough Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Bonnie Henderson, John M. Kelly and Bonnie Henderson a

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants David B. Martin and Kelly M. Martin v. 03-05105 Denver, Colorado Respondents UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc., RBC Dain Rauscher, Inc. and James Richard Neisler Nature of Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES David B. Martin and Kelly M. Martin ("Claimants") were represented by David E. Graven,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Pase Number 03-05098 Helene Keller Names; nf the Respondents Hearing Site: Philadelphia, PA Quick and Reilly, Inc. Richard Poveromo Nature of the Dispute: Customer v. Member and Associated Person. RF.PRF.SFNTATT01V OF PARTIES Claimant, Helene Keller, hereinafter referred to as "Claimant", was represented by George L. Mahr m, Esq., George L

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05096 John W. LeMaster, Claimant v. Edward D. Jones & Co. and David Preston Lindley, Respondents. ATTORNEYS: Claimant, John W. LeMaster, ("Claimant"), appeared pro se, Lexington, KY. For Respondent, Edward D. Jones & Co., ("Edward D. Jones"), appeared Bradford B. Lear, Esq., of the firm Greensfelder, Hemker & Gale, P.C. St. Louis, MO. Respondent, David Preston Lindley, ("Lindley 11 )

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-05093 Joseph and Nancy Meder Names nf the Respondents Hearing Site- Pittsburgh, PA Salomon Smith Barney n/k/a Citigroup Global Markets, Inc. and Colin Rosenberg Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Joseph and Nancy Meder, hereinafter collectively referred to as

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Lawrence Luxenberg Anne Luxenberg Names of the Respondents Barry Financial Group, Inc. Asset Management Securities Corp. James A. Barry, Jr. Case Number: 03-05092 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer v. Non-Member, Member and Associated Person. REPRESENTATION OF PARTIES For Lawrence Luxenberg and

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant The Ida Mae Corenblum Revocable Living Trust Names of the Respondents/Third Party Claimants Dean Witter Reynolds, Inc Scott Donato Names of theThird Party Respondents Stanley Corenblum Ida Mae Corenblum Case Number: 01-01530 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For The Ida Mae Corenblum Revocable Living Trust, hereinafter r

Award NASD Dispute Resolution Ir) the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05090 UBS Financial Services Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Scott M. Butler * * Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Services, Inc., hereinafter referred t6 as "Claimant": Michael F. Braun, Esq. and William M. Ejzak, Esq., Schuyler, Roche & Zw

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names; nf thp riai'mants Case Number- 03-05084 Robin O. King Custodial Account for Stephanie King p T?espnnHf*ntR Rearing Site: Raleigh, NC Merrill Lynch, Pierce, Fenner & Smith, Inc. Cynthia Clark Nature of the Dispute: Customers v. Member and Associated Person. RF.PRFSFNTATTON OF PARTIES Claimants, Robin O. King and Custodial Account for Stephanie King, here

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant TIMOTHY RICHARD GRIFFIN and TIMOTHY RICHARD GRIFFIN TRUST U/A DTD 5/9/01 and 03-05082 Phoenix, Arizona Name of Respondents PRUDENTIAL SECURITIES INCORPORATED N/K/A PRUDENTIAL EQUITY GROUP, INC. andPINACARINO Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Timothy Richard Griffin a