Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carter Yohey, Claimant v. Morgan Stanley DW, Inc., Bradley P. Studebaker, Gary R. Elrod, and Robert D. Luce, Respondents Case Number: 02-04982 Hearing Site: Reno. Nevada * Nature of Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Thomas C. Bradley, Esq. Sinai Schroeder Mooney Boetsch Bradley Reno, Nevada For Respondents: Jon

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03937 Saul W. Adelman, claimant vs. Track Data Securities Corp. and Herzog Heine Geduld, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se, Oxford, OH. For Respondent Herzog Heine Geduld, Inc., appeared Hugo A. Hilgendorff, IV, Esq., of the firm Bressler, Amery & Ross, Florham Park, NJ. For Respondent Track Data Securities Corp. appeared Robert P. Bramnik, Esq., of the firm

Revised Award NASD Dispute Resolution In the Matter of the Arbitration Between: f: of thft riflimantst Pase Number 02-04979 Todd C.Alston Grace Cole-Alston Name of the RftgpnTidftnfg Hearing Sife' Washington, DC UBS Financial Services, Inc., #k/a UBS PaineWebber, Inc. Daron D. Fullwood Nature of the Dispute: Customer vs. Member and Associated Person. RFPRF.SFNTATTON OF PARTTF.S Claimants, Todd C. Alston and Grace Cole-Alston, hereinafter col

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' Claimants ! , . . James R. Jensen and Debra Jensen v. ' |( 02-04973 Minneapolis* Minnesota Respondents l( Citigroup Global Markets, Inc. f/k/a/ Salomon Smith Barney, Inc. and Jamie Peter Constantine Nature of Dispute: Customers v. Member and Associated Person . . ' j REPRESENTATION OF PARTIES r James R. Jensen and Debra Jensen ("Claimants") were

Award NASD Dispute Resolution In the Matter of the Arbitration Between: / Salim Shiry (Claimant) v. UBS PaineWebber, Inc., Irwin Werbowsky, and Joseph Pizzo (Respondents) Case Number: 02-04968 Hearing Site: City, State Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Salim Shiry ("Shiry") hereinafter referred to as "Claimant": Philip Raible, Esq., Mintz & Gold, LLP, New York, NY. Respondents, U

Award NASD Dispute Resolution ft fl D V "Ir I In the Matter of the Arbitration Between: Naomi Bosley, TTEE The Bosley Family Trust, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Jeffrey N. Tadder, Respondents Case Number: 02-04965 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: L. Michael Wilson, Esq. Law Office of Michael Wilson San Diego, California i For Respondents: Robert M. Traylor, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: KTame. nf the Claimants Jack and Sharon Lebeau Name of the Respondents Fahnestock & Co., Inc. Estate of Jeffrey S. Vizak Case Number- 02-04964 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Jack and Sharon Lebeau., hereinafter collectively referred to as "Claimants", were

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Colleen Fields Name of the Respondent Wachovia Securities, LLC Case Number: 02-04961 Hearing Site- Charlotte, North Carolina Nature of the Dispute: Customer vs. Member. RFPRRSFNTATTON OF PARTTF.S Claimant Colleen Fields, hereinafter referred to as "Claimant", was represented by M. Thomas Norwood, m, Esq., The Lake Law Office, Mooresville, North C

* ' Stipulated Award •* NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-04959 Morgan Keegan & Company, Inc. Name of the Respondent Hearing Site: Charlotte., NC John Casper Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Morgan Keegan & Company, Inc. was represented by Shea O'Brien Hicks, Esq., Vice President Associate Attorney, Morgan Keegan & Company,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Unibanco Securities, Inc., and Unibanco Securities Limited (Claimants) v. FTC Securities, Inc., (Respondent) Case Number: 02-04958 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Unibanco Securities, Inc. (Unibanco Inc.), and Unibanco Securities Limited (Unibanco Limited) hereinafter referred to as "Claimants": William Bethlem, Director, Unibanco Securities