Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tom Wieser and Jessica Wieser (Claimants) v. Morgan Stanley DW, Inc. and Charles Anderson (Respondents) Case Number: 03-02399 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Tom Wieser ("T. Wieser") and Jessica Wieser ("J. Wieser") hereinafter collectively referred to as "Claimants": Jay R. Mc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Georgia Stamoulis, Individually and as Executrix of the Estate of Chrysanthe Rose (Claimants) v. Jonathan Schwartz, Anthony Orlando, Bluestone Capital Corp., Lisa Mari Dellapietra, and Joseph Kerry and Wexford Clearing Services, Corp. Case Number: 03-02398 Hearing Site: New York, NY Nature of the Dispute: Customer v. Members and Associated Persons REPRESENTATION OF PARTIES Claim

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Aviva Teichner (Claimant) v. UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc., Mary Ellen Kay, and John Decker (Respondents) Case Number:Q3-02396 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Aviva Teichner ("Teichner") hereinafter referred to as "Claimant": Jay D. Fischer,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David C. Mason and Michael Mason (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Henry Blodget (Respondents) Case Number: 03-02393 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants David C. Mason ("D, Mason") and Michael Mason ("M. Mason") hereinafter collectively referred to as "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tai Joon Jang and Teresa Jang, Claimants v. Daehan Securities, Inc., Yong Soo Kim, and Young Jin Lee, Respondents Case Number: 01-01215 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants Tai Joon Jang and Teresa Jang: For Respondent Daehan Securities, Inc.: For Respondent Yong So

Mar-03-05 11:31 am From-Washinrto* Collto of Lav 2022744130 T-321 P-003 Mil i t ! Stipulated Award j NASD Dispute Resolution Infhe Matter of the AiiftiatkmBrtnreen: Cayi NiimhfiC 03-02391 SopbfeLul HearingJiiite: Washington, D.C Peter J.Kusso, Jr. Nature of the Dispute: Customer < vs, Member and Associated Person. Viigiina Sophie Lul ("CiaiiDanf % was lepreseuted by John P. ConaoQy, Esq., Atexandrie, Respondents, MexrBl Lynch, Pierce.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02388 Empire Financial Group, Inc. Name of the Respondent Hearing Site: Orlando, Florida Kami Yosefian Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For Empire Financial Group, Inc., hereinafter referred to as "Claimant": William M. Rishoi, Esq. and Philip J. Snyderburn, Esq., Snyderburn, Rishoi & Swann, Orlando, F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02387 Garrick J. Lynch Names of the Respondents Hearing Site: Tampa, Florida O. Ray Gussler Vicky Brann J. Patrick Wheeler Raymond James Financial Services, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Garrick J. Lynch, hereinafter referred to as "Claimant", appeared pro se.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William L. Freund and Joann M. Freund, William L. Freund IRA, and Joann M. Freund IRA, Claimants v. Dennis P. Bloom and Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondents Case Number: 03-02386 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: David J. Lenci, Esq. Cabrelle M

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Maria Rudelli (Claimant) v. RBC Dain Rauscher, Inc, and Paul E. Butler (Respondents) Case Number: 03-02373 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION QF PARTIES Claimant Maria Rudelli ("Rudelli") hereinafter referred to as "Claimant": Sameer Rastogi, Esq., Sichenzia Ross Friedman Ference, LLP, New York,