AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Miriam Rothman, Claimant vs. E Street Access, Respondent Case Number: 04-02996 SITUS: Philadelphia, Pennsylvania. NATURE OF DISPUTE: Customer v. Suspended Member. REPRESENTATION OF PARTIES Miriam Rothman, hereinafter referred to as "Claimant", was represented by Douglas Knehr, Esq., Douglas Knehr, LLC, Lawrenceville, New Jersey. Respondent did not enter an appearance in this

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan L. Stickney, Claimant v. E* Trade Securities, LLC and E*Trade Clearing, LLC, Respondents Case Number: 04-02986 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Members REPRESENTATION OF PARTIES For Claimant: Steven M. Cyr, Esq. Legal Representation, LLC Portland, Oregon For Respondents: John Bersin, Esq. E*Trade Securities, LLC Rancho Cordo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stefanos Sertsionas (Claimant) v. UBS Financial Services f/k/a UBS Paine Webber, Inc., Carlos Garcia, Hugh Mcllrevey and David Moran (Respondents) Case Number: 04-02978 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Stefanos Sertsionas ("Sertsionas") hereinafter referred to as "Claima

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Adulis Enterprises, Cafe Adulis, Ltd., and Gideon Gebreyesus (Claimants) v. UBS Paine Webber Inc., Carlos Garcia, Hugh Mcllrevey, and David Moran (Respondents) Case Number: 04-02977 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Adulis Enterprises ("Adulis"), Cafe Adulis, Ltd. ("Ca

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the r.lnimant flase Numhet" 04-02966 Harash D. Vashishat Names nf theRespnnHenfg Hearing Site 1 Washington, DC Arif Ahmed Paul Moulden Nature of the Dispute: Customer vs. Associated Persons. RFPRFSFNTATTON OF PARTTRS Claimant, Harash Vashishat, hereinafter referred to as "Claimant", was represented by Daniel T. Wright, Esq., Attorney at Law, Rockville, Ma

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Wendell E. Bennett and Diane Bennett (Claimants) v. Charles Schwab & Company Inc. (Respondent). Case Number: 01-00053 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants, Wendell E. Bennett and Diane Bennett, collectively referred to as "Claimants" represented themselves. Respondent, Charles Schwab & Company, Inc. hereinafter referred to as ("Charles S

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02958 Robert Bruce Harris, Claimant v. Michael Joseph Pierce HI, Respondent ATTORNEYS: Claimant, Robert Bruce Harris ("Claimant"), appeared pro se, New York, NY. For Respondent, Michael Joseph Pierce HI, ("Respondent"), appeared Brian S. Hamburger, Esq., of the Hamburger Law Firm, Teaneck, NJ. NATURE OF DISPUTE: Associated Person v. Associate Person. DATE FILED: April 21, 2004. CASE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ftgnf the Claimants CflSfi NlltTlher: 04-02957 William and Wanda Davis Names nf the Respondents Hearing Site- Pittsburgh, PA Howard P. Bernstein Prudential Securities, Inc. n/k/a Prudential Equity Group, LLC Nature of the Dispute: Customers vs. Associated Person and Member RFPRFSF.NTATTON OF PARTIES Claimants, William and Wanda Davis, hereinafter collectively referred to

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Milano Investments, Ltd. and Case Number: 04-02955 Hearing Site: Houston, Texas Name of Respondent CIBC World Markets Corp. NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Milano Investments, Ltd. ("Claimant") was represented by Robert E. Lapin, Esq., Lapin & Landa, LLP, Houston, Texas. CIBC World Markets Corp. ("CIBC") was

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants David A. Paschall and Stephen Paschall, as the Beneficiaries of the John P. Paschall Trust, David A. Paschall, as Independent Executor of the Estate of Betty Paschall, David Paschall, Individually and Mary F. Paschall Case Number: 04-02953 vs. Hearing Site: Houston, Texas Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc.