NASD DISPUTE RESOLUTION AWAKD NASD DISPUTE RESOLUTION CASE: 03-04328 Frank Terlizzi IRA, Claimant v. David B. Franken, Respondent. ATTORNEYS: Claimant, Frank Terlizzi IRA, ("Claimant"), appeared pro se, Tequesta, FL. For Respondent, David B. Franken, ("Respondent"), appeared the in-house counsel of the associated firm at the time of the dispute UBS Financial Services, Inc., Randi Perry Spallina, Esq., Fort Lauderdale, FL. NATURE OF DISPUTE: Customer

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Irene Ross (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Stephen Mandel, Robin Reich and Robert Gorman (Respondents) Case Number: 03-04324 Hearing Site: New York, New York Nature of Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Irene Ross ("Ross") hereinafter referred to as "Claimant": Richard A. Roth, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dilip Suranjith Gunawardena, Claimant v. Lehman Brothers Inc., Respondent Case Number: 03-04323 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Claimant: Brett A. Alcala, Esq. Alcala Law Firm San Mateo, California For Respondent: Stephen Young, Esq. Scott E. Hinsche, Esq. Keesal, Young & Logan San F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number: 0^-04^1Q Jack N. Frost Name nf the Respondent Hearing Site: Philadelphia, PA E*Trade Securities, LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Jack N. Frost ("Frost"), hereinafter referred to as "Claimant", represented himself at the hearing. Respondent, E*Trade Securities, LLC ("E*Trade"), hereinafte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Victor J. Closi and Phyllis A. Closi JT TEN, Victor J. Closi IRA, Phyllis A. Closi IRA, and Victor J. Closi Annuity (Claimants) v. Bernard McGee, Bernard McGee d/b/a McGee Financial Services; McGee Financial Services; Royal Alliance Associates, Inc.; Royal Alliance, a Sunamerica Company; and Sunamerica Trust, Inc. (Respondents) Case Number: 03-04316 Hearing Site: New York, New York

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven and Rose Berman and Steven Herman IRA (Claimants) v. Prudential Equity Group, LLC i7k/a Prudential Securities, Inc. (Respondent) Case Number: 03-04315 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Steven and Rose Berman ("The Bermans") and Steven Berman IRA ("S. Berman IRA") hereinafter collectively refer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Atlantic Coast District, International Longshoremen's Association AFL-CIO (Claimant) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc., Oppenheimer Capital, and William Purdue (Respondents) Case Number: 03-04312 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member, Non-Member, and Associated Person. REPRESENTATION OF PARTIES Claimant Atlant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paragon Capital Markets, Inc. (Claimant) v. Anna York Mills and Peter Y. Mills (Respondents) Case Number: 03-04310 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person and Customer. REPRESENTATION OF PARTIES Claimant Paragon Capital Markets, Inc. ("Paragon") hereinafter referred to as "Claimant": Danny J. Levine, President, Paragon Capital Mark

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles D. Finster, Executor for the Estate of Charles R. Hoenisch, Claimant v. L.H. Ross & Co., Inc., Joseph Ferragamo and Adam Klein, Respondents Case Number: 01-01456 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant Charles R. Hoenisch: Cory B. Chartrand, Esq. Triebsch, Frampton, Dorius & Lima Turlock, California For Respondent

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: J. Kenneth Hickman and Irene Hickman, (Claimants) vs. Gilford Securities, Inc. and Ernest A. Charous, (Respondents) Case Number: 00-00732 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, J. Kenneth Hickman and Irene Hickman, hereinafter collectively referred to as "Claimants": Steven B. Caruso, Esq., Maddox Koeller Hargett & Caruso, New York, NY. Respo