AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ! Name of Claimant Roger L. Weiss and 03-03793 Nashville, Tennessee Name of Respondent Waddell & Reed, Inc. i Nature of the Dispute: Customer vs. Member Roger L. Weiss ("Claimant") was represented by Richard A. Lewins, Esq., Burg, Simpson, Eldredge, Hersh & Jardine, P.C., Dallas, Texas. Waddell & Reed, Inc. ("Respondent") was represented by Jeffrey S. Jamieson

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: i > Names of the Claimants Reginald Blackshear Michelle Blackshear Names n Merrill Lynch Pierce Fenner & Smith, Inc. Merrill Lynch Credit Corporation Curtis R. Murry rase Number 03-03792 Hearing Site- Charlotte, North Carolina Nature of the Dispute: Customers vs. Member, Non-Member, and Associated Person RFPRFSFNTATTON OF PARTTFS Claimants Regi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Adelstein, Leslie Adelstein, and The Richard and Leslie Adelstein Family LLC, Claimants v. RBC Dain Rauscher and Thomas R. Wanne, Respondents Case Number: 03-03790 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Chris R. Youtz, Esq. Sirianni, Youtz, Meier & Spoonemo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants John D. Rivers and Elizabeth Rivers v. 03-03783 Denver, Colorado Respondents UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc. and Robert A. Levy Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES John D. Rivers and Elizabeth Rivers ("Claimants") appeared pro se. UBS Financial Services, Inc. f/k/a UBS PaineWebbe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jones & Associates, Inc. and Neuberger Berman, LLC (Claimants) v. CRT Capital Group, LLC and Hill, Thompson, Magid & Co., Inc. (Respondents) Case Number: 03-03774 Hearing Site: New York, New York Nature of the Dispute: Members vs. Members. REPRESENTATION OF PARTIES Claimants Jones & Associates, Inc. ("Jones") and Neuberger Berman, LLC ("Neuberger") hereinafter collectively refer

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: William A. Walrod Revocable Trust and Ruth B. Walrod Revocable Trust (Claimants) v. Merrill Lynch Pierce, Fenner, & Smith Inc., Donate J. Eassey, Daniel K. Hocking, and Merrill Lynch & Co., Inc. (Respondents) Case Number:03-03773 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Member, Non-Member and Associated Persons REPRESENTATION OF PARTIES Cla

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Charles P. Brink and 01-01355 Minneapolis, Minnesota Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION OF PARTIES Charles P. Brink ("Claimant") was represented by Mark J. Briol, Esq. and Amy J. Ihlan, Esq., Briol & Associates, Minneapolis, Minnesota. Charles Schwab & Company, Inc. ("Respondent") was represented by Sean Meehan, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Names rtf the (71 aim ants Roger D. and Patricia H. Grant Names nf the Edward D. Jones & Co. John Francis Brosnan, HI Raymond James Financial Services, Inc. Number- 03-03772 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customers vs. Members and Associated Person. RF.PKF.SF.NTATTON OF PARTTFS Claimants, Roger D. and Patricia H. Grant, hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant JohnR. Schuck,Sr. Names of the Respondents Prudential Equity Group, LLC Stephen Robert Gagne Case Number 03-03771 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. RFPRKSRNTATTON OF PARTIES Claimant, John R. Schuck, Sr., hereinafter referred to as "Claimant", was represented by Donald M.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Raymond L. Weaver v. 03-03768 Denver, Colorado Respondent Washington Square Securities, Inc. Nature of Dispute: Customer v. Member REPRESENTATION OF PARTIES Raymond L. Weaver ("Claimant") was represented by David E. Graven, Esq., and Jeffrey Pederson, Esq., of Burg Simpson Eldredge Hersh & Jardine, Englewood, Colorado and Tracy Pride Stoneman, Esq., of Tr