Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf thp Claimants Case Number! 03-04652 John and Wanda dePiccoleliis Names nf the Respondents Hearing Site: Pittsburgh, PA Russell S. Sherred, HI and Salomon Smith Barney n/k/a Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Associated Person and Member RF.PRF.SF.NTATTON OF PAKTTF.S Claimants, John and Wanda dePiccolellis, hereinafter coll

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-04644 Michael Myers, M.D., as Trustee of the Michael Myers, M.D., P.A. Profit Sharing Trust and Myers Family Limited Partnership Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Keith Dunn Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF P

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services, Inc., Claimant v. Kenneth A. Diamond, Respondent Case Number: 03-04641 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Laura Martin, Esq. Davidson & Grannum, LLP Northvale, New Jersey For Respondent: In Propria Persona CASE INFORMATION Statement of Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: p of the Plqjrnarfts Pflgfr NlUT^"" 03-04636 Charles and Carol Ann Thompson A.G. Edwards & Sons, Inc. and Jeffrey B. Coffinan Hearing Sjfp 1 Dallas, Texas VATTTRF OF TTF Public Customers v. Member Firm and Associated Person Claimants Charles and Carol Ann Thompson, hereinafter collectively referred to as "Claimants": H. Dale Langley, Jr., Esq., of The Law Fir

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants James and Schrader Randall and Names of Respondents Prudential Equity Group, LLC, Louis M. Perry, David L. Noble, Logan D. Fitch, and Kit E. Vick Case Number: 03-04635 Hearing Site: Denver, Colorado NATURE OF DISPUTE Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTIES James and Schrader Randall ("Claimant")

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities, Inc., (Claimant) vs. Steve A. Norton, (Respondent) Case Number: 01-01481 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, First Union Securities, Inc., hereinafter referred to as "Claimant**: Diane C. Fischer, Esq. and Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, IL. Previously represented by: Renan I. Sugarman, Esq., Seni

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lehman Brothers, Inc. (Claimant) v. Rodney T. Cox (Respondent) Case Number: 00-00734 Hearing Site: New York, New York Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES Claimant Lehman Brothers, Inc. hereinafter referred to as "Claimant": Manoj R. Andalkar, Esq., Alonso, Andalkar & Kahn, PC, New York, NY. Respondent Rodney T. Cox hereinafter referred to as "Resp

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant LiamP.Healy and 03-04630 Chicago, Illinois Name of Respondent J. P. Morgan Securities, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Liam P. Healy ("Claimant") was represented by Edward M. Hogan, Esq., Kelly McCloskey Cherf, Esq., and J. Michael Tecson, Esq., Hogan Marren, Ltd., Chicago, Illinois, Roseanne Loftus,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant First Union Securities, Inc. v. 03-04622 Denver, Colorado Respondent Theodore McMorrough Nature of Dispute: Member v. Associated Person REPRESENTATION OF PARTIES First Union Securities, Inc. ("Claimant") was represented by Renan I. Sugarman, Esq., Chicago, Illinois. Theodore McMorrough ("Respondent") was represented by Stuart N. Bennett, Esq., of Lindquis

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Linda Dionisio and Paula Gillan (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Helen S. Hoffman (Respondents) Case Number: 03-04619 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Linda Dionisio ("Dionisio") and Paula Gillan ("Gillan") hereinafter collectively