Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between Ray and Sarah Noret, Noret Petroleum Partnership, Noret Theaters, Inc., and Showplace, Inc. NASD Arbitration No. 04-00322 v. UBS PaineWebber, Incorporated, . $k/a PaineWebber, Inc., Montague Hasie, Todd Hasie, Elizabeth Staley, and A. Bruce Stacy Hearing Location: Dallas, Texas NATURE OF THE DISPUTE Public Customers v. Member Firm and Associated Per

10/03/-2005 15:03 FAX NASD 003/007 STIPULATED AW4JO> NASD Dispute Resolution :+* •? D & U W L=I r>, 4£-a In the Matter of the Arbitration Between NameofClahnant David G.Fteeman and Name of Respondents Wells Fargo Investments, LUC Annette G. Musa Lisa Gayle Baud 04-00319 Phoenix, Arizona Nature of the Dispute: Customer vs. Menjtber and Associ ited Persons David 0. Freeman ("Claimant") was represente

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00315 E. Walton Brown Names of the Respondents Hearing Site: Atlanta, Georgia UBS PaineWebber, Inc. Glenn E. Brandon, Jr. J.C. Bradford & Co. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For E. Walton Brown, hereinafter referred to as "Claimant": Don B. Long, Esq. and T. Charles Fry,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00309 Eleanor Giroux n/k/a Eleanor Giroux Erickson, Trustee FBO Eleanor Giroux u/a/d 03/15/96, Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., CRD #7059; Richard M. Stern, CRD #825096; William James, CRD #1249254 Nature of the Dispute: Customer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-00306 Charles J. Aucoin RebeccaS. Aucoin Names of the Respondents Hearing Site: New Orleans, Louisiana Merrill Lynch, Pierce, Fenner & Smith, Inc. Ronald Clayton Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Charles J. Aucoin and Rebecca S. Aucoin, hereinafter collectively referred t

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia Breed and Patricia Breed IRA (Claimants) v. A.G. Edwards & Sons, Inc. and Cathy Downey-Rispoli (Respondents) Case Number: 04-00297 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member and Associated Person, REPRESENTATION OF PARTIES Claimants Patricia Breed ("Breed") and Patricia Breed IRA ("Breed IRA") hereinafter collectively refer

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Arthur Kaufman and Dorothy Kaufman, Claimants v. Quick & Reilly, Jay Kuperman, and David Cochrane, Respondents Case Number: 00-05570 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Arthur Kaufman and Dorothy Kaufman, hereinafter referred to as "Claimants": Alan J. Foxman, Esq., The Law Office of Alan J. Foxman, P.A., Boca Raton, Florida. For Quick & Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Leerink Swann & Co., Inc. (Claimant) v. Paul S. Hartwell (Respondent) Case Number: 04-00295 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Leerink Swann & Co., Inc. ("Leerink") hereinafter referred to as "Claimant": John I. Fitzgerald, Leerink Swann & Co., Inc., Boston, MA. Respondent Paul S. Hartwell (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the f.toimant Case Number- 04-00287 Stacey Cancilla Names of the Respondents Hearing Site- Philadelphia, PA Wachovia Securities, LLC, Jeffrey Clauss, Timothy Grable, Jr., and Brian McGrath Nature of the Dispute: Customer vs. Member and Associated Persons RKPRF.SF.NTATTON OF PARTTF.S Claimant, Stacey Cancilla, hereinafter referred to as "Claimant", pro se, did

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00286 Denise M. Zagnoli Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley Dean Witter, Inc. Merle L. Zislin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Denise M. Zagnoli, hereinafter referred to as "Claimant": Robert Dyer, Esq., Allen, Dyer, Doppelt Milbrath & Gilc