Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerome Goldberg and Laura Goldberg (Claimants) v. First Union Securities, Inc. and James D, Routhier (Respondents) Case Number: 03-02447 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Jerome Goldberg and Laura Goldberg ("The Goldbergs") hereinafter collectively referred to as "Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Martin Oxenhorn and Marion Oxenhorn (Claimants) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Morton Reisfield (Respondents) Case Number: 03-02446 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Martin Oxenhorn and Marion Oxenhorn hereinafter collectively referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jon and Charlene Scott (Claimants) v. Edward D. Jones & Co. and Brian A. Kljun (Respondents) Case Number: 03-02445 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Jon Scott ("J. Scott") and Charlene Scott ("C. Scott") hereinafter collectively referred to as "Claimants": Andrew J. Stoltmann, Esq., St

Award NASD Dispute Resolution In the Matter of the Arbitration Between: French Needle Design Corp., Claimant Case Number: 03-02444 vs. Austin Securities, Inc. and Southwest Securities, Inc., Respondents Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, French Needle Design Corp., hereinafter referred to as "Claimant": David Schiller, French Needle Design Corp., Forest Hills, New York. Respondents, Austin Securities, Inc. and Sou

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark Stephen Casady (Claimant) v. Scudder Financial Services, Inc., Scudder Distributors, Inc. and Scudder Investor Services, Inc. (Respondents) Case Number: 03-02442 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person v. Members. REPRESENTATION OF PARTIES Claimant Mark Stephen Casady ("Casady") hereinafter referred to as "Claimant": David J.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS PaineWebber, Inc. (Claimant) v. James N. Passias (Respondent) Case Number: 03-02441 Hearing Site: Columbus, Ohio Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant UBS PaineWebber, Inc. ("PaineWebber") hereinafter referred to as "Claimant": Lisa A. Catalano, Esq., Davidson, Manchel & Brennan, LLP. Respondent James N. Passias ("Passias") he

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01819 Jack E. Cline Martha Cline Names of the Respondents Hearing Site: Atlanta, Georgia Merrill Lynch Kenneth M. Bluestein Jim Sumpter Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jack E. Cline and Martha Cline, hereinafter collectively referred to as "Claimants":

Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Ronald Cherry Sentra Securities Corporation Names of the Respondents Kovack Securities, Inc. Ronald Kovack Richard Fleischner Case Number: 00-04493 Hearing Site: Boca Raton, Florida For Ronald Cherry ("Cherry") and Sentra Securities Corporation ("SSC") hereinafter collectively referred to as "Claimants": Jeffrey A. Winikoff, Esq., and Justin Kam, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01817 Joy D, Vogel Gregory F. Vogei Names of the Respondents Hearing Site: Tampa, FL Wachovia Securities, Inc., f/k/a First Union Securities, Inc. GE Life and Annuity Assurance Co. MarkD. Amos Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joy D. Vogel and Gregory F. Vogel, he

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants , Dr. Donald L. Sween, individually and on ' ' behalf of the Dr. Donald L. Sween IRA Rollover "" ' ' ' 1 'i •• • 1 i - . - ' . ' v. 03-01815 , Minneapolis, Minnesota Respondents ; Prudential Securities, Inc., n/k/a Prudential Equities Group, LLC, and Jeffrey Starkrnan , ( • . " ' i . " - . - . . ' " •