Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC f/k/a Wachovia Securities, Inc., Claimant v. Donald A. Duarte, Jr. Respondent Case Number: 03-04580 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Diane C. Fischer, Esq. Robert C. Scremin, Esq. Kane & Fischer, Ltd. Chicago, Illinois For Respondent: In

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Isak Altman and Hava Jakobson (Claimants) vs. Herzog Heine Geduld, Investec Ernst & Company, and Dennis G. Collins, in (Respondents) Case Number: 03-04577 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Person REPRESENTATION OF PARTIES Claimants Isak Altman ("Altman") and Hava Jakobson ("Jakobson"), hereinafter collectively

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rita Sand and Rita Sand IRA (Claimants) v. Kirlin Securities, Inc. (Respondent) Case Number: 03-04576 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member. REPRESENTATION OF PARTIES Claimants Rita Sand ("Sand") and Rita Sand IRA ("Sand IRA") hereinafter collectively referred to as "Claimants": Robert G. Heim, Esq., Meyers & Heim, LLP, New York, NY. Res

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Glenn Easton ragft Number 03-04575 Names of the Deutsche Bank Securities, Inc. Richard Christopher Courtney Site- Washington, D.C. Nature of the Dispute: Customer vs. Member and Associated Person. RFPRFSFNTATTON OF PARTTP.S Claimant, Glenn Easton , hereinafter referred to as "Claimant", was represented by W. Scott Greco, Esq., Grec

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Gerald and Gilda Henson and 03-04568 Nashville, Tennessee Name of Respondent Morgan Stanley DW Inc. 'i Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Gerald and Gilda Henson ("Claimants") were represented by H. Naill Falls, Jr., Esq., Falls and Veach, Nashville, Tennessee. Morgan Stanley DW Inc. ("Respondent") was repr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John and Louise Teutonico (Claimants) v. Morgan Stanley DW, Inc., Prudential Securities, Inc. n/k/a Prudential Equity Group, Inc., and Antonio Coppola (Respondents) Case Number: 01-01472 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimants John and Louise Teutonico ("the Teutonicos") hereinafter colle

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Richard F. Piccolo Name, of the Respondents UBS Financial Services, Inc. and Mary Zainey Townsend Case Number: 03-04566 Hearing Site: Indianapolis, Indiana MATIIPF HP Customer vs. Member Firm and Associated Person nc Terry R. Curry, Esq. of the law firm Sommer Barnard Ackerson, P.C., located in Indianapolis, Indiana represented Richard F.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, Inc. and Name of Respondent Abdurrahman S. Naser Case Number: 03-04564 Hearing Site: Houston, Texas NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, Inc. ("Claimant") was represented by Ronald P. Kane, Esq. and Robert Scremin, Esq., Kane & Fischer, Ltd., Chicago, Illinois.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Cage Number: 03-04559 Geraldine B. Casapulla Name nf the Respondents Hearing Site: Philadelphia, PA UBS Financial Services Inc. (f/k/a UBS PaineWebber Inc.) Bradford L. Carson Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION- OF PARTIES Claimant, Geraldine B. Casapulla, hereinafter referred to as "Claimant", appeared p

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: g of Claimant fW Niimher- 03-04558 Enid Pitman Names of Respondents Hearing Site? Philadelphia, PA John G.Beckett Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTFES Claimant, Enid Pitman, hereinafter referred to as "Claimant", was represented by Jeffrey N. Kale, Esq., Law Offices o