Oct-05-2004 I1:54ai From-NASDA DISPUTE RESOLUTION M86 P.002/010 F-877 Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald J. Rudenski., Claimam v. UEOC Investment Services, Inc., Carrie C.J. Leeflang and Jack Darwin Fannin, Respondents Case Number: 03-04765 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant; Rod M BidgoIL,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harold Sloves and Lisette Sloves, Claimants v. Prudential Equity Group, Inc., Steven G. Carayanis and Suzanne K. Castruita, Respondents Case Number: 03-04764 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: In Propria Persona For Respondents: Mildred M. McLaney, Esq. Prudential Equity Group, Inc. New York, New York CASE INFORMATIO

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants James B. Neathery and Marilyn A. Neathery and Case Number: 03-04760 Hearing Site: Houston, Texas Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and David W. Nethery NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES James B. Neathery and Marilyn A. Neathery ("Claimants") were r

Jul-29-20D2 11:01an From-NASD DISPUTE RESOLUTION T-683 P.002 F-923 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Grace M. Pescheli, Individually a Claimants v. Soloman Smith Barney Inc., Shearson Lehman Hutton and Eugene P. Depatie, Respondents Case Number: 01-01493 d as Trusiee for ihe Grace M. Pescheli Fam Hev Trust, Hearing Site: Los Angeles, California REPBESENTATION OF PARTIES POT Claimants: For Res

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04757 National Securities Corporation, Claimant v. Randall B. Ram, Respondent. ATTORNEYS: ~ ~ ~ ~ ~ ~ ~ ~ ~^' "~~~" For Claimant, National Securities Corporation, ("Claimant"), appeared James K. Barbee, of the firm Golbeck, Roth & Colachis, PLLC, Seattle, WA. Respondent Randall B. Ram, ("Respondent"), did not enter an appearance in this matter. NATURE OF DISPU

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rollie S. Olson, Trustee for the Benefit of the Rollie Olson Family Trust U/A/D September 25, 1996 and Rollie S. Olson, Trustee for the Benefit of the Randall Olson Family Trust U/A/D September 26,1996 (Claimants) v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc., Richard Drayton, Jr., and Douglas Henry DeLong (Respondents) Case Number: 03-04743 Hearing Site

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04742 Paul Joseph Sagel, Claimant v. Charles Schwab & Co., Inc., Respondent. ATTORNEYS: Claimant appeared pro se, Maineville, OH. For Respondent appeared in-house counsel Geoffrey Moore, Esq., San Francisco, CA. NATURE OF CLAIM: Customer v. Member Firm DATE FILED: June 30, 2003 CASE SUMMARY: Claimant alleged that Respondent failed to execute an order to sell two thousand (2000) share

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the, Claimant Mianne Yenca Name, nf the. UBA Financial Services, Inc. ffn/a UBS PaineWebber, Inc. r 03-04740 Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Julianne Yenca, hereinafter referred to as "Claimant", was represented by Vicki Kuftic Home, Esq., Attorney at Law, Pittsburgh, P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, of the Claimant Case Number: 03-04737 Morgan Stanley DW Inc. e of the Respondent Hearing Site: Philadelphia, PA Michael Scott Simmons Nature of the Dispute: Member vs. Associated Person. RFPRFSFNTATTON OF PARTIES Claimant, Morgan Stanley DW Inc. ("Morgan Stanley"), hereinafter referred to as "Claimant", was represented at the hearing by Robert Scremin, Esq., Kane & Fis

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Michael L. Limond Lauretta Limond and Michael Limond, Joint Account Michael L. Limond and Lisa J. Taylor, Joint Account Michael L. Limond and Marilyn Limond, Joint Account Michael L. Limond and Ellen Sperling, Joint Account Names of the Respondents UBS Financial Services, Inc., f/k/a UBS PaineWebber, Inc. Randy L. Stark Case Numb