Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph R. Gennett and Joseph R. Gennett IRA (Claimants) v. Joseph Tiderencel, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Prudential Equity Group., LLC f/k/a Prudential Securities, Incorporated (Respondents) Case Number: 03-04197 Hearing Site: Albany, New York Nature of the Dispute: Customers v. Members and Associated Person. REPRESENTATION OF PARTIES Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven Marcano, Urban Intelligence Network, Inc., Carolina Barnes Corporation, Frank E. Barnes, III, William S. Barnes, and Michael L. Marks, (Claimants) vs. Morgan Stanley DW Inc. a/k/a Dean Witter Reynolds, Inc., (Respondent) Case Number: 01-01443 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Steven Marcano ("Marcano"), Urban Intelligence Network, Inc. ("UI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Pase Number; 03-04180 Marston V. Hilton Names nf the Respondents Hearing Site: Raleigh, NC Morgan Stanley DW, Inc. Betsy B. Serafin Robert Edward Fonorow Nature of the Dispute: Customer v. Member and Associated Persons. RFPRFSFNTATTON OF PARTIES Claimant, Marston V. Hilton, hereinafter referred to as "Claimant", was represented by Mathew E. Bates

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald H. Richards IRA, Claimant v. UBS Financial Services Inc. and Angeli Aguila Forster, Respondents Case Number: 03-04176 Hearing Site: San Diego, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialist San Diego, California For Respondents: Robert H. Logan, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Judy Dees Names of the Respondents Salomon Smith Barney, Inc. , Richard Sanfilippo Case Number: 03-04169 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Judy Dees, hereinafter referred to as "Claimant": Robert Dyer, Esq., Allen, Dyer, Doppelt, Milbreth & Gilchrist,

Award NASD Dispute Resolution In tne Matter or tne Arbitration Between: Names of the Claimants Case Number: 03-04168 Myers Family Trust U/A/D 9/17/93 The Nest, Inc. Money Purchase Pension Plan Nancy Stafford IRA Nancy Stafford-Myers Larry Myers Name of the Respondent Hearing Site: Boca Raton, Florida Janney Montgomery Scott LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Myers Family Trust U/A/D 9/17/93

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf flip Plaimant PflQg KTnmhfir- 03-04162 UBS Financial Services Inc. . nf tfo. T?ftgpAnHfipf flfrgprig Site- Dallas, Texas Cortill D. Roberts NATTTRK HF TWF TUSPTTTF. Member Firm v. Associated Person Claimant UBS Financial Services Inc., hereinafter referred to as "Claimant": Laura Martin, Esq. of the firm of Davidson & Grarmum, LLP, located in Northvale, New Jersey. Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant A.G. Edwards & Sons, Inc. Name of the Respondent Ronald Cleveland Case Number: 03-04159 Hearing Site: Atlanta, Georgia Nature of the Dispute; Member vs. Associated Person. REPRESENTATION OF PARTIES For A.G Edwards & Sons, Inc., hereinafter referred to as "Claimant": Nuviah Shirazi, Litigation Counsel, A.G. Edwards & Sons, Inc. Ronald Clevelan

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case Number: 03-04156 William Reenstra Karen Klimas Names of the Respondents Hearing Site: Philadelphia., PA A.G. Edwards & Sons, Inc. Allan Rosenthal Nature of the Dispute: Customer vs. Member and Associated Person RFPRF.SKNTATTON OF PAftTTES Claimants, William Reenstra and Karen Klimas, hereinafter collectively referred to as "Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Domestic Securities, Inc. (Claimant) v. Morgan Stanley & Co., Inc., Allen & Company, LLC, BrokerageAmerica, Inc., Bear Stearns & Co., Inc., Trading Investec, Inc., Janney Montgomery Scott, LLC, BNP Paribas Brokerage Services, Inc., Kensington Capital Corp., Oppenheimer & Co., Inc., Maxim Group LLC, Electronic Trading Group, LLC, Millennium Brokerage, LLC, J.P. Matrix Partners, LLC, Neid