Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services Inc., Claimant v. Christian Wragg, Respondent Case Number: 03-02036 Situs: San Francisco, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Lisa A. Catalano, Esq. Davidson & Grannum, LLP Northvale, New Jersey Respondent did not enter an appearance in this matter CASE INFORMATION Statement of C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02032 Estate of Ann Cuneo Name of the Respondents Hearing Site: Chicago, Illinois Cowen & Co., SG Cowen Securities, Corp., Societe Generate, S.A., Lehman Brothers, Inc., and Lehman Brothers Holdings, Inc. NATURE OF THE DISPUTE Customer v. Member Firms and Non-Member Firms REPRESENTATION OF PARTIES Howard S. Suskin, Esq., Suzanne J

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John L. Russo, Claimant Case Number:- 03-02027 v. James M. Ford, Joel C. Rolla, Hearing Site: St. Louis, Missouri Wunderlich Securities, Inc., Michael D. Ganey, Patrick James Forkin, III and J. Michael-Patrick, LLC, Respondents. NATURE OF THE DISPUTE Customer vs. Member Firm, Terminated Member and Associated Persons REPRESENTATION OF PARTIES Claimant, John

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants David Roslonski and Gail Rosionski vs. Names of Respondents Merrill Lynch Pierce Fenner & Smith Inc., and Robert W. Hollinger Case Number: 03-02026 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES David Roslonski and Gail Roslonski ("Claimants") were represente

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant / Counter-Respondent Stanford Group Company and Name of Respondent / Counter-Claimant Leyla M. Basagoitia Case Number: 03-02025 Hearing Site; Houston, Texas NATURE OF DISPUTE Member Firm vs. Associated Person and Associated Person vs. Member Firm REPRESENTATION OF PARTIES Stanford Group Company ("Claimant" or "Stanford Group") was represented by T

Award NASD Dispute Resolution In the Matter of th6 Arbitration Between: Martha Tarcici, Claimant v. Wayne Lourenco, Respondent Case Number: 03-02013 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Associated Person REPRESENTATION OF PARTIES For Claimant: Martha Tarcici West Palm Beach, Florida For Respondent: Mark S. Flynn, Esq. Severson & Werson Irvine, California CASE INFORMATION Statement of Claim filed

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Doron Cohen, (Claimant) vs. First Union Securities, Inc. and Ivan Feiroeth, (Respondents) Case Number: 00-03573 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Doron Cohen, hereinafter referred to as "Claimant": G. Alexander Novak, Esq., Novak & Juhase, New York, NY. Respondents, First Union Securities, Inc. ("FUS") and Ivan Feinseth ("Feinseth"), here

Award NASD Dispute Resolution In the Matter of the Arbitration Between: J. Greig, Claimant v. Tradestation Securities, Inc., Respondent Case Number: 03-02012 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Linda M. Deola, Esq. Reynolds, Motl and Sherwood, PLLP Helena, MT For Respondent: Felix G. Luna, Esq. Heller Ehrman White & McAuliffeLLP Seattle, WA Richar

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02009 Charles B. Branson and Deborah B. Levbarg-Eiseuson JNT, Claimant v. Morgan Stanley DW, Inc. f/kte Dean Witter Reynolds, Inc., Alan Greenspan, and John W. Hoekman, Respondents. ATTORNEYS: Claimant, Charles B. Eisenson and Deborah B. Levbarg-Eisenson JNT, ("Claimant 1 '), appeared pro se p St, James, NY, Respondents, Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael Thomas Palamaro v. Raymond, James & Associates, Inc. Case Number: 03-02008 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Michael Thomas Palamaro, hereinafter referred to as "Claimant": Jonathan Sack, Sack & Sack, New York, NY. Respondent, Raymond, James & Associates, Inc. hereinafter referred to as "Respondent": David J. Rice, In-House Counsel for