Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jan Green, John Toroni JTWROS, and Bertram Green Dec'd IRA FBO Jan Green as Beneficiary, (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Dale Koblenzer, and John J. Inhouse, III, (Respondents) Case Number:03-QQ215 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants, Jan Gre

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 03-00214 Christine Mustazza, Vivian Mustazza, And Estate of Peter Mustazza Hearing Site: New York, New York Respondents RBC Dain Rauscher Inc., John Micera, and James Cashman Nature of Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Christine Mustazza ("C. Mustazza"), Vivian Mustazza ("V.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00212 Amelia Bova Names of the Respondents Hearing Site: Chicago, Illinois Morgan Stanley DW, Inc., Mark H. Richmond, and Barbara B. Mclntyre Type of Controversy: Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Claimant Amelia Bova appeared pro se. Respondents Morgan Stanley DW, Inc. (Morgan Stanley), Mark H.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00210 Dennis E. Freed IRA & Roth IRA Claimant vs. UBS PaineWebber, Inc., Joseph A. DePaula, Patrick M. Mendenhall, and Jeanne Selian, Respondents. ATTORNEYS: Claimant, Dennis E. Freed, ("Claimant"), appeared pro se, Katy, TX. Respondents, UBS PaineWebber, Inc., Joseph A. DePaula, Patrick M. Mendenhall, and Jeanne Selian, (collectively "Respondents"), appeared through their in-house counsel,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Timothy S. Van Name v. 03-00206 Denver, Colorado Respondents Morgan Stanley Dean Witter, Inc. and Rick Schoen Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Timothy S. Van Name ("Claimant") was represented by Kevin L. McDowell, Esq., of Buchholz, McDowell & Norman Boulder, Colorado. Morgan Stanley Dean Witter, Inc. (

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kate Bekins Revocable Trust, Claimant v. Prudential Equity Group, LLC (formerly Prudential Securities, Inc.) and Allan L. Herzog, Respondents Case Number: 03-00205 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Thomas D. Mauriello, Esq. Law Offices of Thomas D. Maurie

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Mark Weinerman rase Number- 03-00199 Name nf the Respondents Fahnestock & Co., Inc. Allen Lang Elliot Fine Hearing Site: Philadelphia., PA Nature of the Dispute: Customer vs. Member and Associated Persons. RF.PRKSKNTATTON OF PAKTTRS Claimant, Mark Weinerman, hereinafter referred to as "Claimant", was represented by Andrew M. Mc

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Names of the Claimants Case Number: 03-00197 Ray Vera and Concepcion Roca Vera, husband and wife Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc., a Delaware Corp. Juan C. Collar Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ray Vera and Concepcion Roca Vera, hu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ross L. Tesser, an individual, and Ross L. and Catherine H. lesser, Trustees for the Kings Trust DTD 7/24/95, Claimants v. Morgan Stanley DW Inc. and Schneur Zalmen Lazaroff, Respondents Case Number: 00-04307 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: JeffDennis Ferentz, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00196 Evelyn Timko, individually, and as Personal Representative of the Estate of John J. Timko Name of the Respondent Hearing Site: Tampa, Florida Bamett Investments, Inc. n/k/a Bank of America Investment Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Evelyn Timko, individually, and as Person