Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael J. DiSanto (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Scott Polish, and Michael Mawby (Respondents) Case Number: 03-04706 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Michael J. DiSanto ("DiSanto") hereinafter referred to as "Claimant": Brian P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Earl Weingarden TTEE, Earl Weingarden Trust UA DTD 2/25/77 Shirley Weingarden TTEE, Earl Weingarden Irrev. Trust UA DTD 12/14/00 Name of the Respondent Prudential Securities, Inc. Case Number: 03-04704 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Earl Weingarden TTEE, Earl W

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Arnold Castor, Rita Castor and Arnold Castor and Rita Castor as Trustees of the Arnold Castor Trust Names of the Respondents DB Alex Brown, LLC and Jack Casey Case Number: 03-04699 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Arnold Castor, Rita

Stipulated Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04695 Jeffrey R. Gordon Names of the Respondents Hearing Site: Boca Raton, FL Cynthia Harris, individually and as Trustee of the Cynthia Harris Living Trust U/A DTD 2/18/00 Nature of the Dispute: Associated Person vs. Customers. REPRESENTATION OF PARTIES For Jeffrey R. Gordon, hereinafter referred to as "Claimant": Peter J. Ald

I Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Hurley Family Revocable Living Trust, Claimant v. Leerink, Swann & Company and Alfred Joseph Sollami, Jr., Respondents Case Number: 01-01490 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Jeffrey A. Feldman, Esq. Law Offices of Jeffrey A. Feldman San Francisco, California For Respondents: Susan F. Drogin, Esq. L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Bonnie Watson, individually Bonnie Watson, MPPP Bonnie Watson, SEP IRA Names of the Respondents Robert W. Baird & Co. Incorporated Gordon Owens Case Number: 03-04694 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Bonnie Watson, individually; Bonnie Watson, M

Stipulated Award NASD Dispute Resolution ARBITRATION BEFORE NASD DISPUTE RESOLUTION JOHN L. ALEXANDER and § TRACE L. ALEXANDER, § Claimants, vs. MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and R. KINNE KELL Respondents. § § § § NASD Arbitration # 03-04691 § § § § § § HF.Ptt.glT.NT flN f PARTTF.S Claimants John L. Alexander and Trace L. Alexander, hereinafter referred to as "Claimants,"

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Roman C. Peterson, Ruth B. Peterson and Roger Peterson and Case Number: 03-04689 Hearing Site: Chicago, Illinois Name of Respondent Edward Jones & Co. Claimants v. Member REPRESENTATION OF PARTIES Roman C. Peterson, Ruth B. Peterson and Roger Peterson, ("Claimants"), were represented by Mark Sanders, Esq., Hailing & Cayo, located in Milwaukee, Wi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Clifford Knapp and 03-04688 Milwaukee, Wisconsin Name of Respondents Prentice Securities, Inc. Timothy D. Morales Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Clifford Knapp ("Claimant") was represented by Paul Erickson, Esq., Gutglass, Erickson, Bonville, Seibel & Faulkner, S.C., Milwaukee, Wisconsin

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Texas Hill Country Corp. and Case Number: 03-04687 Hearing Site: Houston, Texas Names of Respondents UBS Financial Services, Inc., Montague Sylvester Hasie, Aubrey Bruce Stacy, and Elizabeth Jordan Staley NATURE QF DISPUTE Customer v. Member Firm and Associated Persons REPRESENTATION QF PARTIES Texas Hill Country Corp. ("Claiman