Award NASD Dispute Resolution In the Matter of the Arbitration Between: Reuvain Schepansky (Claimant) v. HSBC Brokerage (USA) Inc., Sebastian Costanzo, and Chani Sperlin (Respondents) Case Number: 03-03903 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Reuvain Schepansky ("Schepansky") hereinafter collectively referred to as "Claimant" appeared pro se. Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Walter Handlin (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Daniel E. Gleeson (Respondents) Case Number: 03-03902 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Walter Handlin ("Handlin") hereinafter referred to as "Claimant": Richard W. Vallario, Esq., Nutley, NJ. Responde

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward S. Wyrwa, Edward S. Wywra IRA, Eileen Wyrwa IRA and Edward S. Wyrwa Basic FBO Edward S. Wyrwa (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Inc. and Samuel A. Annitto (Respondents) Case Number: 03-03901 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Edward S. Wyrwa (

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Donald M. Knudsen and 01-01377 Denver, Colorado Name of Respondents Russo Securities, Inc. Ferdinand Russo Richard A. Russo William G. Brown Joseph A. Colangelo REPRESENTATION OF PARTIES Donald M. Knudsen ("Claimant") was represented by Otto K. Hilbert, n, Esq., of Robinson, Waters & O'Dorisio, Denver, Colorado. Russo Securities, Inc.

StipuIatedAward NASD Dispute Resolution In the Matter of the 'Arbitration Between: Names nf the Claimants ' ' Case Number: 03-03896 Jeffrey Cohen individually and o/b/o his IRA Karen Cohen IRA Names of the Respondents Hearing Site: Washington, D.C. Morgan Stanley Dean Witter, Inc. JohnProsperi Nature of the Dispute: Customers vs. Member and Associated Person. RF.PKF.SFNTATTON OF PARTTF.S Claimants, Jeffrey Cohen individually and o/b/o his ER

Stipulated Award NASD Dispute Resolution la the Matter of the Arbitration Between; Names of the Claimants Joseph and Judith Tamashasky Case Number 03-03895 Names of the Respondents Merrill Lynch, Pierce, Fermer & Smith, Inc. Gregory Kreitz John C. Murphy ring Site- Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants, Joseph and Judith Tamashasky, hereinaft

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services Inc. (f/k/a UBS PaineWebber Inc.), Claimant v. Jason Mitchell, Respondent Jason Mitchell, Counter-Claimant v. UBS Financial Services Inc. (f/k/a UBS PaineWebber Inc.), Counter-Respondent Case Number: 03-03892 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Member v. Associated Person Nature of the Dispute: Associated Person v. Member REPRESENTAT

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Joan Tinkelman, individually and as Trustee of the Elizabeth C. Isserman Supplemental Needs Trust v. 03-03889 Denver, Colorado Respondents Citigroup Global Markets, Inc., and Michael Engel Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Joan Tirikelman, individually and as Trustee of the Elizabeth C. Isserrnan Supp

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between Mark and Tammy Nolan v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Henry Blodget, and Thomas X. Coronado NASD Arbitration No. 03-03885 Hearing Location: Dallas, Texas NATURE OF THE DISPUTE Public Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Claimants Mark and Tammy Nolan ("Claimants") were represented by Wm. Jemison Mims, Jr. o

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Irving W. Cott Credit Shelter TR 6/4/91 Names of the Respondents Lincoln Financial Advisors, Corp. Juliana E. Carew Case Number: 03-03879 Hearing Site: Boca Raton, FL Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Irving W. Cott Credit Shelter TR 6/4/91 ("Cott"), hereinafter referred to