Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thp riaimatit Pagf Number- 03-03308 Richard L. Patton Name nf the ftpsponftents Hearing Site: Raleigfa, NC Newbridge Securities Corporation Michael Christopher Smith Nature of the Dispute: Customer v. Member and Associated Person. RF.PRFSFNTATTON OF PARTTFS Claimant, Richard L. Patton, hereinafter referred to as "Claimant", represented himself at the Respondent,

Award NASD Dispute Resolution In the Matter of the Arbitation Between: Name nf the Claimant ("!ase Number 03-03307 Deborah Blair Stevens eg of the Respondents Hearing site' Philadelphia, PA Morgan Stanley DW Inc. John L. Williams Nature of the Dispute: Customer vs. Member and Associated Person RFPRFSFlVTATinN OF PARTTFS Claimant, Deborah Blair Stevens ("Stevens"), hereinafter referred to as "Claimant", was represented at the hearing by Roger

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James M. McKenney, Golden Gate Door & Window, Inc. Profit Sharing Plan and Golden Gate Door & Window, Inc. Money Purchase Pension Plan vs. Michael Scot Lance, Tony N. Tarrab and UBS Financial Services Inc. (f/k/a UBS PaineWebber, Inc.) Case Number: 03-03305 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENT

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: CWNiimher- 03-03304 Bane of America Securities, LLC Hiring Site- Washington, DC Richard Mudge and Ilene Mudge Nature of the Dispute: Member vs. Customers x ftF.PRF.SFNTATin>J OF PAttTTF.S Claimant, Bane of America Securities, LLC ("Claimant"), was represented by Dennis P. McGlone, Esq. and Alison E. Goldenberg, Esq., Gordon, Feinblatt, Rothman, Hoffberger &

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Thomas M. Henderson, Individually and on behalf of Thomas M. Henderson Living Trust Account by Janine M. Bums, POA Names of the Respondents Prudential Securities, Inc. Joseph Traba, Jr. Case Number: 03-03303 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES

Award - NASD Dispute Resolution In the Matter of the Arbitration Between: Plaitnanf Page Niimhpr- 03-03299 Fidelity Brokerage Services, LLC f n f thfi Rfpp^'lfnts Hearing Sitp- Baltimore, MD Philip Rousseaux Thomas Yost PARTTF.S Claimant, Fidelity Brokerage Services, LLC ("Fidelity'), was represented by George F. Ritchie, Esq., Piper Rudnick, LLP, Baltimore, MD. Respondents, Philip Rousseaux ("Rousseaux") and Thomas Yost ("Yost"), he

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ursula Moyseowicz and George Moyseowicz JTWROS, Dr. George Moyseowicz IRA, and Dr. George E. Moyseowicz SEP (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 03-03293 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Ursula Moyseowicz and George Moyseowicz JTWROS ("The Moyse

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harbor Advisors, LLC (Claimant) v. Miller Tabak Securities, LLC (Respondent/Third-Party Claimant) v. Arbiter Partners, Avenue Advisors, LLC, Cadogan Management, LLC, Credit Suisse Asset Management Securities, Inc., Elliott Management Corporation, Hawkeye Capital Management, LLC, Mariner Investment Group, Inc., Monarch Capital Holdings, Ltd, MSD Capital, LP, Oppenheimerfunds, Inc., Para

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03289 Ehrenkrantz King Nussbaum, Inc., Claimant v. Marc Gerard Konior, Respondent. ATTORNEYS: For Claimant, Ehrenkrantz King Nussbaum, Inc., ("Claimant"), appeared Michael S. Colombo, Lyndhurst, NJ, Respondent, Marc Gerard Konior, ("Respondent"), did not submit an answer to the Statement of Claim. NATURE OF DISPUTE: Terminated Member v. Associated Person DATE FILED: May 5, 2003 ~~~~

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Joseph A. DiVito, Jr. and 01-01292 Phoenix, Arizona Name of Respondents Salomon Smith Barney Inc. OF PARTIES Joseph A. DiVito, Jr. ("Claimant") was represented by Paul A. Conant, Esq., Galbut, Hunter & Conant, Phoenix, Arizona. Salomon Smith Barney Inc. ("Respondent") was represented by H. Nicolas Berberian, Esq., Neal Gerber & Eisenberg, Ch