STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants R. Glenn Stefano and Nancy Stefano And 03-03712 Chicago, Illinois McDonald Investments, Inc. James E. Maxwell, Jr., and Larry R. Bishop Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES R. Glenn Stefano and Nancy Stefano ("Claimants") were represented by April Lindawer, Esq., and James, J. Ecc

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joni L. Guy v. 03-03711 Oklahoma City, Oklahoma Names of Respondents Farmers Financial Solutions, LLC, James M. Kolich and Brian R. Meyer Nature of the Dispute: Customer vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES Joni L. Guy ("Claimant") was represented by Rodney J. Heggy, Esq., Federman & Sherwood, Oklahoma City, Oklahoma.

Award NASD Dispute Resolution In-the Matter of the Arbitration Between: UBS Financial Services, Inc. file/a UBS PaineWebber, Inc., Claimant, v. Case Number: 03-03709 Hearing Site: Chicago, Illinois U. Scott Smith, Respondent. Nature of the Dispute: Member Firm vs. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc., f/k/a UBS PaineWebber, Inc. ("UBS"), hereinafter referred to as "Claimant": Laura Martin, 'Esq

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: UBS PaineWebber Inc. vs. David Fry Case Number: 03-03708 SITUS: Nashville, Tennessee NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES: UBS PaineWebber Inc. k/n/a UBS Financial Services Inc., hereinafter referred to as "Claimant* Laura Martin, Esq., Davidson, Manchel & Brennan LLP, Northvale, New Jersey. Respondent did not enter an appearance in this m

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Mark A. Leach and Jana P. Leach and Names of Respondents H&R Block Financial Advisors, Inc. and Ronald J. Marszalek Names of Claimants Robert W. Pittan and Barbara J, Pittan and H&R Block Financial Advisors, Inc. and Ronald J. Marszalek Case Number: 03-03707 Hearing Site: Chicago, Illinois Consolidated with: Case Numbe

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, nf the Claimant f!flse Number: 03-03706 Stephen K. Ryan Name, nf the Respondents Hearing Site: Washington, D C Legg Mason Wood Walker, Incorporated Shawn P. McLaughlin Nature of the Dispute: Associated Person vs. Member and Associated Person RFPRF.SF.NTATTON OF PARTTRS Claimant, Stephen K. Ryan ("Claimant"), was represented by Mark C. Hayes, Esq., Carter

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Paul Kelly CaseNiimhet" 03-03705 Name of the Prudential Equity Group, LLC Joseph Patrick Brennan Rees Truman Harris Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Persons. RF.PRF.SRNTATTON OF PARTTRS Claimant, Paul Kelly ("Kelly"), hereinafter referred to as "Claimant", was repres

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03702 Stifel, Nicolaus & Co., Inc., Claimant v. Gary D. Sullivan, Respondent. ATTORNEYS: For Claimant, Stifel, Nicolaus & Co., Inc., ("Claimant"), appeared Peter R. Sonderby, Chicago, IL. Respondent, Gary D. Sullivan, ("Respondent"), did not respond to the Statement of Claim. NATURE OF DISPUTE: Member v. Customer DATE FILED: March 20, 2003 CASE SUMMARY: Claimant alleged that Responde

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03700 Thomas A. Pashos, Claimant vs. Doug Parker, Respondent. ATTORNEYS: Claimant, Thomas A. Pashos, ("Claimant"), appeared pro se, Tucson, AZ. For Respondent, Doug Parker, ("Respondent"), appeared Richard A. Karoly, Esq., San Francisco, CA. DATE FILED: May 20, 2003 CASE SUMMARY: Claimant alleged that Respondent did not follow his instructions, and improperly liquidated his 14 Invesc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anke Rice and Anke Rice and Jens Gad JTWROS (Claimants) v. Prime Charter LTD.; Michael Hal Silverman; Mark Alan Hauser; Fahnestock & Co., Inc. (Respondents) v. Vincent J. Franzone (Third-Party Respondent) Case Number: 01-01340 Hearing Site: New York, New York Nature of the Dispute: Customer v. Members and Associated Persons REPRESENTATION OF PARTIES Claimants Anke Rice ("Rice")