Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf tV)p riflfrnanf P^p Niirnhftp 02-07189 S&RPartnership Hiring Site' Dallas, Texas Lehman Brothers, Inc.; and Karen Post Ford Customer v. Member Firm and Associated Person Claimant S & R Partnership, hereinafter referred to as "Claimant": H. Allan Pennington, Jr., Esq. of the firm of Pennington Baker, located in Fort Worth, Texas. Respondents Lehman Brothers, Inc. ("Leh

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf ttip. Plai' UBS Financial Services Inc. . Nnmher: 02-07187 V. Name, nf the Ryan Pitcher Hearing Site: Detroit, Michigan Member v. Associated Person NATTIRR OF DTSPTITK KKPRRSKNTATTON OFPAETTRS Claimant, UBS Financial Services Inc., hereinafter referred to as "Claimant", was represented by Laura Martin, Esq., Davidson, Manchel & Brennan, Nor

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Todd Jeffrey Elkins, Claimant v. Prudential Securities, Inc. (n/k/a Prudential Equity Group, LLC), Jordan R. Matthews m, Kevin T. Kitchin, Michael A. Pedone and Timothy R. Redpath, Respondents Case Number: 02-07184 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: James Jay

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07180 UBS Financial Services Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Angel A. Beguiristain Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For UBS Financial Services Inc., hereinafter referred to as "Claimant": Laura Martin, Esq., Davidson, Manchel & Brennan, LLP, Northvale, New J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07178 John G. DeBoer, individually, and as Trustee of the John G. DeBoer Trust U/A Dated 12/17/80, and as General Partner of the J. DeBoer Family Limited Partnership Name of the Respondent Hearing Site: Tampa, Florida Wachovia Securities, L.L.C. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For John G.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 02-07173 Mary Aiello Mary Aiello IRA Names nf the Respondents Hearing Site: Baltimore, MD Ferris, Baker Watts, hie. David Anderson Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRFSF.NTATTON OF PARTTF.S Claimant, Mary Aiello individually and on behalf of her IRA ("Claimant"), was represented by John P. Connoll

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lone Oak Limited Partnership (Claimant) vs. Salomon Smith Barney Inc. n/k/a Citigroup Global Markets, Inc. (Respondent) Case Number: 00-04203 Hearing Site: Cincinnati, Ohio REPRESENTATION OF PARTIES Claimant Lone Oak Limited Partnership, Durwood G. Rorie, G.P., hereinafter referred to as "Claimant": Robert S. Brown, Esq., The Brown Firm, L.P.A., formerly with the firm Brown, Cum

MS WINCHESTER 540 723 247 0 P. 02/05 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Plaimant Qgi» MilfriWfl-! 02-07170 John Edward Atkinson Richard Randa MatthewGfeon Wachovia Securities Inc. fre.* BaJzifBore, Maryland Nature of the Dispwe; Associated Person vs. Associated Pwsons and Member, PAPTTFg Claimant John Edward Atkinson appeared pro je. Respondent Richard Randa ('"Randa"*} represented himself

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between RICHARD FAULKNER, Claimant, and MORGAN STANLEY DW, INC. Respondent. Hearing Location: Detroit, Michigan Case Number: 02-07153 NATURE OF CASE Associated Person v. Member Firm REPRESENTATION OF PARTIES Claimant Richard Faulkner ("Faulkner" or "Claimant") was represented by Nelson P. Miller, Esq., of Fajen and Miller, P.L.L.C., located at 41 Washington

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 02-07151 Anthony A. Pachelli and Louise B. Pachelli Name nf the Respondents Hearing Site- Albuquerque, New Mexico Morgan Stanley DW, Inc. and William Batie M ATI IPF OF niSPI ITF Customers vs. Member Firm and Associated Person OF PARTIFft Thomas J. Schuchert, Esq. with law offices located in Albuquerque, New Mexico and Jackson,