Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fiserv Securities, Inc. (Claimant) v. Gary DeDilectis and Robert Aurigemma (Respondents) Case Number 05-00298 Hearing Site- New York, NY Nature of the Dispute: Member vs. Associated Persons. RFPRF.SF.NTATTON OF PARTIES Claimant Fiserv Securities, Inc. ("Fiserv"), hereinafter referred to as "Claimant": Wendy H. Schwartz, Esq., Becker, Glynn, Melamed & Muffly LLP, New York,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Florence R. Carunchio (Claimant) vs. American Express Financial Advisors, Inc. (Respondent) Case Number: 05-00297 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Florence R. Carunchio ("Carunchio") hereinafter referred to as "Claimant": Matthew .V. Bartle, Esq., Bartle & Marcus, LLC, Kansas City, MO. Previously

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant UBS Financial Services, Inc. and Case Number: 05-00284 Hearing Site: Oklahoma City, Oklahoma Name of Respondent William S. Foster NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimant" or "UBS Financial") was represented by Brent A. Burns, Esq., Davidson & Grannum, LLP, Orangeburg, New

Stipulated Award NASD Dispute Resolution In the Matter ot the Arbitration between: Names of the Claimants Case Number: 01-00437 Barry M. and Rochelle Sinrod Names of the Respondents Hearing Site: Boca Raton, Florida Bradford A. Miller Benson York Group, Inc. Michael H. Caldera Gregory Goldstein Steven J. Cohen Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Barry M. and Rochelle Sinrod

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Paul T. Boscia, Claimant vs. Wells Fargo Securities Corporation, Respondent. Case Number: 00-00615 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimant, Paul T. Boscia (hereinafter referred to as "Claimant"): Frank E. Mayo, Esq., 5150 El Camino Real, Suite B-14, Los Altos, CA 94022. Respondent, Wells Fargo Securities Corporation (hereinafter referred to as "Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: >Jamp fifths Claimant Shirley D. deLong of the Respondents First Citizens Investor Services, Inc. Robert Townsend Pleasants, Jr. T- 05-00276 Hearing Site* Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. * RPPRF^RNTTATTON OFPARTTF.S Claimant, Shirley D. deLong, hereinafter referred to as "Claimant", was represented by Jo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant James P. Nagy and Case Number: 05-00266 Hearing Site: Troy, Michigan Respondent Edward D. Jones & Co. ' . • NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES James P. Nagy ("Claimant") was represented by Nicholas P. lavarone, Esq., and Rosalind M. Robertson, Esq., Simmons Cooper LLC, East Alton, Illinois. Edward D. Jones & Co. ("Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kyle and Leslie Fincel (Claimants) vs. Edward D. Jones & Co. (Respondent) Case Number: 05-00252 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers. Member REPRESENTATION OF PARTIES Claimants Kyle and Leslie Fincel hereinafter referred to as "Claimants": Keith L. Griffin, Esq., Maddox Hargett & Caruso, P.C., Fishers, IN. Respondent Edward D. Jones & Co. hereinafter ref

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William D. Youngberg and 05-00250 Chicago, Illinois Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES William D. Youngberg ("Claimant") was represented by Joel Bellows, Esq. and Helen B. Bloch, Esq., Bellows & Bellows, P.C., Chicago, Illinois. Ci

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00249 UBS Financial Services Inc., (Claimant) vs. Mark Futrell, (Respondent) ATTORNEYS: For Claimant appeared Brent A. Burns, Esq., of the firm Davidson & Grannum, LLP, Orangeburg, NY. For Respondent appeared Mark S. Hellinger, Esq., of The Hellinger Law Firm, Houston, TX. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 14, 2005 CASE SUMMARY: Claimant alleged t