STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Scott R. Nelson v. 03-03028 Denver, Colorado Respondents UBS Financial Services Inc. f/k/a UBS PaineWebber, Inc., Ralph W. Ward and Alberto H. Brea Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Scott R. Nelson ("Claimant") was represented by Steven S. Kaufman, Esq., Thompson Hine, LLP, Cleveland

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ted H. Shaw I, : and Names of Respondents > Merrill Lynch Pierce Fenner & Smith, Inc., and Charles O. Hundley Case Number: Q3-03027 Hearing Site: Detroit, Michigan NATURE OF CASE ( i , , I ' . ' Customer v. Member and Associated Person 1 i • REPRESENTATION OF PARTIES Ted H. Shaw ("Claimant") was r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: er' 03-03024 Byron Kyle Ward il Hffi mng Sitp- Dallas, Texas Fidelity Brokerage Services LLC OT? TTfF Public Customer v. Member Firm RFPRFSFNTATTfW op PAPTTFS Claimant Byron Kyle Ward, hereinafter referred to as "Claimant": Appeared prose. Respondent Fidelity Brokerage Services LLC, hereinafter referred to as "Respondent": Cameron S. Mattheson, Esq. of the la

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between i Name of Claimant Erik I. Knudson and Jodi A. Knudson, John Phillipi, Steven M. Mclntyre and Loraine M. Mclntyre, and Sovereign Ventures, L.L.C. and 03-03022 Phoenix, Arizona Name of Respondents A.G, Edwards & Sons, Inc. < John Tate Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Erik I. Knudson and Jodi

A SD DISPUTE RESOLUTION AWARD AASD DISPUTE RESOLUTION CASE: 03-03020 Harriet Eliopoulos, Claimant v. Merrill Lynch Pierce Fenner & Smith, -Inc. and Sean R. Miller, Respondents. ATTORNEYS: For Claimant, Harriet Eliopoulos, ("Claimant"), appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner, & Proctor, P.A., Pensacola, EL. For Respondents, Merrill Lynch Pierce Fenner &, Smith, Inc., and Sean R. Miller, ("Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Masao Takai, Trustee; Tomiko Takai, Trustee; M. Takai MD Inc. Profit Sharing Plan; M. Takai MD Profit Sharing Sub Plan; Masao Takai MD IRA; Tomiko Takai IRA; Eriko Takai; Masao Takai MD and Tomiko Takai, JTWROS; and Masaki Takai, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Frederick C. Wong, Respondents Case Number: 03-03015 Hearing Site: Honolulu, Hawaii Nature of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harold L. Cheeseman, Claimant v. Pacific Life Insurance Company, Associated Securities Corp., and Samuel R. Jones, Respondents Case Number: 03-03012 Hearing Site: Portland, Oregon Nature of Dispute: Customer v. Non-Member, Member and Associated Person REPRESENTATION OF PARTIES For Claimant: James M. O'Kief, Esq. Morris & O'Kief Eugene, Oregon For Respondent Pacific Life

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Frank J. Cuilen Case No. 01-01252"^ Donaldson, Lufkin & Jenrette Securities Corporation and James Martin Claimant Frank J. Cuilen ("Claimant" or "Cuilen") was represented by Brian A. Carlis, Esq. of the law firm of Stark & Stark, Lawrenceville, NJ Respondents Donaldson, Lufkin & Jenrette Securities Corp. (DLJ") and James Martin ("Martin") hereinafter collecti

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03008 Beverly Ann Schuman TTEE, Karl and Robin Schuman Co-Trustees (Trust B) U/W/O Robert Schuman Beverly Ann Schuman Trustee, Karl Schuman Trustee U/W/O R. Schuman Beverly Ann Schuman SS13 IRA Custodian Names of the Respondents Hearing Site: Boca Raton, Florida Salomon Smith Barney a/k/a Citigroup Global Markets, Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Dorothy C. Warekois Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 03-03007 Hearing Site: Tampa, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Dorothy C. Warekois, hereinafter referred to as "Claimant": E. P. Warekois, West Dennis, Massachusetts, appeared as her representative.