Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: A. G. Edwards & Sons, Inc. and Jeffrey Sica Claimants vs. Ralph Demiranda and Janice Demiranda Respondents. CASE 04-02014 REPRESENTATION OF PARTIES For Claimants: Christine Lazaro, Esq., Davidson & Grannum, LLP, 207 Washington Street, Northvale, NJ 07647 For Respondents: Eric Norstedt, Esq., Law Office of Eric Norstedt, P.A., One Financial Plaza, 100 South East Th

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, of the. Claimant AnandaB. Chellapan Name nf the. Respondent Scottrade Financial Services Case. r 04-02010 aring Site.- Richmond, Virginia Nature of the Dispute: Customer vs. Member. RRPRRSFNTATTON OF PARTTFS Claimant, Ananda B. Chellapan, hereinafter referred to as "Claimant", was represented by Joseph W. Kaestner, Esq., Kaestner and Associates, P.C., Richm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter T. Frodigh (Claimant) v. RBC Dain Rauscher, Inc. (Respondent) Case Number: 04-02009 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Peter T. Frodigh ("Frodigh") hereinafter referred to as "Claimant": Robert R. Berluti, Esq., Berluti & McLaughlin, LLC, Boston, MA. Respondent RBC Dain Rauscher, Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riamrant Past* Kimiher 04-02005 Patricia Wilson Name of thg Respondent Hearing Site- Washington, D.C. UBS Financial Services, Inc. Nature of the Dispute: Customer vs. Member. RFPRFSFNTATTON OF PARTIES Claimant, Patricia Wilson, hereinafter referred to as "Claimant", was not represented by counsel and appeared pro se. Respondent, UBS Financial Services, Inc.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the (Claimants C!ase Number- 04-02004 Stanley and Dorothy Redmond Names nf tbg Respnnftents Rearing Site! Philadelphia, PA Prudential Equity Group, Inc. William D. Jenkins Nature of the Dispute: Customers vs. Member and Associated Person RF.PRFSFNTATTON OF PAttTITCS Claimants, Stanley and Dorothy Redmond, hereinafter collectively referred to as "Claimants", were

NASD Arbitration No. 04-002003 Page 1 , . ' , Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: x CARILLON INVESTMENTS, INC: and THE UNION CENTRAL LIFE INSURANCE CO., CASE NO. 04-2003 CLAIMANTS, . ' Hearing Site: Dallas, TX —against— SCOTT GIDLEY, RESPONDENT. Nature of the Dispute: Member and Non-Member with Contract to Arbitrate vs. Associated Person. " . ' ' ' - ' '

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William J. Spina (Claimant) v. C.L. King & Associates, Inc. (Respondent) Case Number: 04-01998 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. i REPRESENTATION OF PARTIES Claimant William J. Spina ("Spina") hereinafter referred to as "Claimant" appeared pro se. Previously represented by: Pamela E. Berman, Esq., Adler Pollock & Sheehan, P.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hedgefund Solutions, a division of APB Financial Group, Inc. (Claimant) v. Todd Gold (Respondent) Case Number: 04-01997 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Hedgefund Solutions, a division of APB Financial Group, Inc. hereinafter referred to as "Claimant": Mitchell Taras, Esq., and Douglas R. Hir

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01995 William J. Holland IRA, Claimant v. E*Trade Securities, LLC and Richard Dean Edde, II, Respondents. ATTORNEYS: Claimant, William J. Holland IRA, ("Claimant"), appeared pro se, Dallas, TX. Respondents, E*Trade Securities, LLC and Richard Dean Edde II, ("Respondents"), appeared through their in-house counsel, John Bersin, Rancho Cordova, CA. NATURE OF DISPUTE: Customer v. Member and

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant John P. Biscanin, Co-Administrator of the Estate of Dolores W. O'Keefe, Successor Conservator of Dolores W. O'Keefe, Successor Trustee of the Michael A. O'Keefe Sub-Trust of the Dolores W. O'Keefe Living Trust dated September 20, 1990, and Successor Trustee of the Michael A. O'Keefe Sub-Trust of the Dolores W. O'Keefe Irrevocable Trust dated July 12, 1996