NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01813 Linda Flanagan, Claimant vs. Joseph Gunnar & Co. LLC, Respondent. ATTORNEYS: For Claimant appeared Michael S. Press, Esq. of the firm Warner & Scheuerman, New York, NY. For Respondents appeared John E. Lawlor, Esq., Mineola, NY. DATE FILED: March 13, 2003. CASE SUMMARY: Claimant alleged that Respondent handled her RMA account negligently, purchased unsuitable securities on marg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Richard Marcoux and Audrey Marcoux sp Number: 03-01810 Names of the Respondents Southwest Securities, Inc. Signal Securities, Inc. Barbara A. Mutsaers Hearing Site; Washington, DC Nature of the Dispute: Customers vs. Members and Associate*} Person. RHPRRSKNTTATTON OFPARTTRS Claimants, Richard Marcoux and Audrey Marcoux , hereinafter col

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01809 Ronald W. Paulinelli Name of the Respondent Hearing Site: Atlanta, Georgia Morgan Stanley Dean Witter Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Ronald W. Paulinelli, hereinafter referred to as "Claimant": Charles L. Gregory, Esq. and Elizabeth J. McBath, Esq., Arnall Golden Gregory LLP, Atlanta, Georg

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Mary Nehrig Names of the Respondents Roan-Meyers Associates, L.P. Bruce Meyers Peter Chung Case Number: 03-01806 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mary Nehrig, hereinafter referred to as "Claimant": Jason L. Nohr, Esq., Huddleston & Nohr, M

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimants raseNnmher 03-01805 William J. DiBraccio Karen R. DiBraccio Name nf the Respondents Hearing Site: Philadelphia, PA Ryan, Beck & Co., LLC Dennis Reynolds Nature of the Dispute: Customer vs. Member and Associated Person RFPRFSFNTATTON OF PARTTRS Claimants, William J. DiBraccio and Karen R. DiBraccio, hereinafter collectively referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: r ap ft NMnilxT' 03-01802 Marion G. Lightfoot F fi ?p n ndfinty H^fl^g fliftv Dallas, Texas Gary V. Murray *"»? Customer v. Associated Person Claimant Marion G. Lightfoot, hereinafter referred to as "Claimant", was pro se. Respondent Gary V. Murray, hereinafter referred to as "Respondent", was pro se. Statement of Claim filed on: March 11, 200

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Elizabeth Stewart Broussard and Name of Respondent Citigroup Global Markets, Inc. Case Number: 03-01801 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Elizabeth Stewart Broussard ("Claimant") was represented by David W. Navarro, Esq., of Cauthorn Hale Hornberger Fuller and Sheehan, in San Anton

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Hai'mants Case Number: 03-01796 John and Marianne Marienski, Individually and as Custodians of their IRA and SEP IRA accounts Name of the Respondents Hearing Site: Philadelphia, PA Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. Robert F. Manning Nature of the Dispute: Customers v. Member Firm and Associated Person. RFPRKSFNTATTON OF PARTI

r Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 00-04490 Rod J. Moelier Barbara C. Moelier Donald E. Darden, individually and on behalf of Donald E. Darden, SEP IRA Susan B. Darden Names of the Respondents D.E. Frey & Company, Inc. Hearing Site: Tampa, Florida Correspondent Services Corporation Marshall Cassedy, Jr. REPRESENTATION OF PARTIES For Rod J. Moelier ("R. Moelier"), Barbara C.

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: UBS Financial Services, Inc. 17k/a UBS PaineWebber, Inc. (Claimant) vs. Kristin Fernandez- Chase (Respondent) Case Number: 03-01792 SITUS: Albany, New York NATURE OF DISPUTE: Member v. Associated Person. REPRESENTATION OF PARTIES UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc. ("UBS") hereinafter referred to as "Claimant": Laura Martin, Esq., Davidson & Grannum, LLP