Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Grasso, individually and as Trustee of the Joseph Grasso Revocable Trust dated 3/8/99, Claimants vs. Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Eric Anderson Schimpf, Respondents Case Number: 03-04054 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Mitchell S. O

Award NASD Dispute Resolution In the Matter of the Arbitratipn Between: Name of the Claimant rase>Jimiher 03-0405 1 Steve Taton Hearing Site: Richmond, VA Raymond James Financial Services, Inc. Steve Edward Hamant Timothy Eugene Scanlon Nature of the Dispute: Customer v. Member and Associated Persons. RF.PRFSFNTATTON OF PARTTFS Claimant, Steve Taton, hereinafter referred to as "Claimant", was represented by William G. Shields, Esq., Thor

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: fi of the Claimant Case Number 03-04051 Steve Taton Names of the Respondents Hearing Site: Richmond, VA Raymond James Financial Services, Inc. Steve Edward Hamant Timothy Eugene Scanlon Nature of the Dispute: Associated Person v. Member and Associated Persons. RF.PRFSKNTATTON OF PARTTF.S Claimant, Steve Taton, hereinafter referred to as "Claimant", was represente

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-04049 Marcia Mandel Richard Heinrich Names of the Respondents Hearing Site: Boca Raton, FL American Express Financial Advisors, Inc. Christopher Leap Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Marcia Mandel and Richard Heinrich, hereinafter collectively referred to as "Claimants"

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04046 Geek Securities, Inc., Claimant v. Sunstate Equity Trading, Inc. and James Kelly, Respondents. ATTORNEYS: For Claimant, Geek Securities, Inc., ("Claimant"), appeared Brett Dohner, Boca Raton, FL. Respondents, collectively known as "Respondents": For Respondent, Sunstate Equity Trading, Inc., ("Sunstate"), appeared James R. Kelly, Tampa, FL. Respondent, James Kelly, ("Kelly") appear

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Todd Koosman v. 01-01436 Minneapolis, Minnesota Respondents Liss Financial Services f/k/a J.E Liss & Company, Inc. and Justin W. Pagel REPRESENTATION OF PARTIES Todd Koosman ("Claimant") was represented by William S. Lapp, Esq., of Lapp, Libra, Thomson, Stoebner & Pusch, Minneapolis, Minnesota. Liss Financial Services f/k/a J.E Liss & Company, Inc. ("Liss

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' Name of Claimant ; UBS Financial Services, Inc. and Case Number: 03-04045 Hearing Site: Dallas, Texas Name of Respondent Thomas Wilson NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, inc. ("Claimant" or "UBS Financial") was represented by Brent A. Burns, Esq., of Davidson & Grannum, LLP, of Northvale, New

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04044 Jean B. Carlson, Individually and as Trustee U/A DTD 11/19/1990 by William H. Carlson Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith Inc. and Rajesh Bhatia REPRESENTATION OF PARTIES Claimant was represented by Howard J. Stein. Respondents were represented by John J. Kilkenny and Timothy E. Horton of Unga

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Albert Castelli (Claimant) v. HSBC Brokerage (USA), Inc. (Respondent) Case Number: 03-04035 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Albert Castelli ("Castelli") hereinafter referred to as "Claimant" appeared pro se. Respondent HSBC Brokerage (USA), Inc. hereinafter referred to as "Respondent": Scott D. M

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-04031 Marlene D. Mazor The Estate of Martha Dinowitz Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Louise Abrams Donald Olszowy, Jr. James Morelli, n Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Marlene D. Mazor and The Estate