NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00878 Source Capital Group, (Claimant) v. Crescent Fund, inc. and Jeffrey Stone, (Respondents) ATTORNEYS: For Claimant appeared in-house counsel Robert Fitzpatrick, Esq., Westport, CT. Respondents did not submit Answers to the Statement of Claim. NATURE OF DISPUTE: Member vs. Non-Members DATE FILED: January 31,2005 CASE SUMMARY: Claimant alleged that Respondents ordered the purchase of 5

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: UBS Financial Services Inc., Claimant vs. Andrew Goodwyn, Respondent Case Number: 05-00874 SITUS: Atlanta, Georgia. NATURE OF THE DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES: For UBS Financial Services Inc., hereinafter referred to as "Claimant": Brent A. Burns, Esq., Davidson & Grannum, LLP, Orangeburg, New York. Andrew Goodwyn, hereinafter referred to

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Kenneth M. Coppins and Dariene A. Coppins, JTWRS, Kenneth M. Coppins and Darlene A. Coppins, JTWROS, and Kenneth M. Coppins (Claimants) v. Donaldson, Lufkin & Jenrette Securities Corporation, Robert Guerin, and Albert Markman Peters (Respondents) Case No. 01-01791 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Kenneth M. Coppins and Darlene A.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Michael J. Rivers v. 05-00871 Minneapolis, Minnesota Respondent Piper Jaffray & Company Nature of Dispute: Customer v. Member REPRESENTATION OF PARTIES Michael J. Rivers ("Claimant") was represented by Terrance M. Fruth, Esq., of Fruth, Jamison & Elsass, P.A., Minneapolis, Minnesota. Piper Jaffray & Company ("Respondent") was represented by James K. Langd

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: , Michael Lombardo, Claimant, - Case Number:- 05-00870 v. H&R Block Financial Advisors, Inc. and , Hearing Site: St. Louis, Missouri Rodney A. Schmitz, . Respondents. NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Michael Lombardo ("Lombardo"), hereinafter referred to as "Claimant": Albert S. Watkins, Esq. of

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-00855 UBS International, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Jose Ivan Jimenez Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS International, Inc., hereinafter referred to as "Claimant": Lisa A. Catalano, Esq., Davidson & Grannum, LLP, Orangeburg, New York. Fo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tony L. Bevin, Claimant v. Guardian Investor Services LLC, Park Avenue Securities LLC, Guardian Life Insurance Co. of America, Georgia L. Gaidula, Timothy A. Kime, Maria L. Burley, Michael D. Fleming, Stephen J. Buell, Warren P. Hoppe, Neil A. Willner, Henry V. Terrell, and Peter M. Sinibaldi, Respondents Case Number: 05-00845 Hearing Site: Los Angeles, California Nature of the Disp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harold Van Der Wall and Diane Van Der Wall (Claimants) v. Salomon Smith Barney, Inc., and Ken Hirsch (Respondents) Case Number: 04-05162 Hearing Site: Elizabeth, New Jersey ^j ._ Nature of the Dispute: Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants Harold Van Der Wall and Diane Van Der Wall hereinafter collectively referred to as "Claimant

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants David L and Robert L. Hughes and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Shannon Marie Clifford, Safeco Insurance Company, and Marjorie Brown Hughes Case Number: 04-05161 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm, Associated Person, and Non-Members REPRESENTATION OF PARTIES David

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 04-05156 Ronald Grossman, IRA . . and Ronald Grossman and Barbara Grossman, Trustees of the Atlas Press Retirement Trust Names of the Respondents Hearing Site: Boston, MA Morgan Stanley DW Inc. and Bradley Goldfarb REPRESENTATION OF THE PARTIES For Ronald Grossman, IRA and Ronald and Barbara Grossman as trustees and/or be