Award NASD Dispute Resolution In the Matter of the Arbitration Between: •Nfamp nf fh» Plaimant Case Niimhflr 05-00058 Claudia C. Coleman Namp nf flip RpgpnnHpnt Hiring Site- Raleigh, NC Wachovia Securities, LLC Nature of the Dispute: Customer v. Member. RFPRFSF.NT ATTON OF PAHTIF.S Claimant, Claudia C. Coleman, hereinafter referred to as "Claimant", was represented by Mathew E. Bates, Esq., Attorney at Law, Greensboro, North Carolina Respond

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: David G. Stitt, Claimant v. Piper Jaffray & Co., John H. Gonnason, and Robert A. Peterson, Respondents Case Number: 05-00055 Hearing Site: Seattle, Washington Nature of the Dispute: Associated Person v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant David G. Stitt: John A. Bender, Esq. Ryan, Swanson & Cleveland, PLLC Seattle, Washington

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank Carlino, Claimant v. Greenberg Financial Group, Inc. i7k/a Greenberg Nehls & Company, Inc., Respondent Case Number: 05-00034 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Mark D. Lammers, Esq. Lammers & Barkley, P.C. Tucson, Arizona For Respondent: Harris L. Kay, Esq. LeClair Ryan Richmond,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-00030 UBS Financial Services Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Steven Levin Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Services Inc., hereinafter referred to as "Claimant": Sandra Grannum, Esq., Davidson & Grannum, LLP, Orangeburg, New York. For Steven L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hugo Chabaneix, Hideko Chabaneix, Kenneth Chin, Francisco Cubias, Aracely Hernandez, Dolores A. Herrera, Barbara Maxham, Eliseo Jose Mercado Gaitan, Emiko Okabe, Hector Ortega, Dan Shaw, Ana Judith Vela, Ever Lovato, Silvia Lovato, Mayra Lovato, Martha Barragan, Betty Lou Evans, Jeffrey Maynard, Larry Pennington, Jorge Montoya, Rosa L. Hernandez, Manuel A. Melgar and Joe Pernyeszi, Clai

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Ram A. Sharma and Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Sidhdharth D. Sheth, Michael D. Kortfelt and Merrill Lynch Case Number: 05-00027 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member, Associated Persons and Non-Member REPRESENTATION OF PARTIES Ram A. Sharma ("Claimant") was represented by Anthony V. Troga

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William Zeffiro and Lynne Wilson Zeffiro JTWROS (Claimant) vs. Mark Gladstone and Cantor, Weiss & Friedner, Inc. (Respondents) Case Number: 05-00024 Hearing Site: New York, New York. Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant William Zeffiro and Lynne Wilson Zeffiro JTWROS ("Zeffiro") hereinafter referred to as ("Claimant

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant UBS PaineWebber, Inc. Case No. 01-00426 Name of Respondent Steve E. Korman Hearing Site: Pittsburgh, Pennsylvania REPRESENTATION OF PARTIES Claimant, UBS PaineWebber, Inc. ("PaineWebber"), hereinafter referred to as "Claimant": Romaine L. Gardner, Esq., Attorney at Law, Staten Island, NY. Respondent, Steve E. Korman ("Korman"), hereinafter refer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Manikoth G. Kurup nf the Case Number: 05-00019 Wachovia Securities, LLC itp- Richmond, Virginia Nature of the Dispute: Customer vs. Member. RF.PRF.SFNTATTON OF PARTTF.S Claimant, Manikoth G. Kurup, hereinafter referred to as "Claimant", was represented by A. James Kauffinan, Esq. and Kenneth C. Griggs, Esq., Taylor, Hazen & Kaufman, PLC, Rich

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Raymond, James & Associates, Inc. and Scott Alan Lewis v. 05-00005 Houston, Texas Respondents Southwest Corporate Investment Services f/k/a CUSOURCE, LLC and Southwest Corporate Federal Credit Union Counter-Claimant Southwest Corporate Investment Services f7k/a CUSOURCE, LLC v. Counter-Respondents Raymond, James & Associates, Inc. and Scott A