Award NASD Dispute Resolution In the Matter of the Arbitration Between: Walter L. Abel, (Claimant) vs. Kristian Lou, Kidder, Peabody & Co., Incorporated, Paine Webber Incorporated, and Paine Webber Group, Inc., (Respondents) Case Number: 01-01734 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Walter L. Abel, hereinafter referred to as "Claimant": James G. Green, Jr., Esq., Pepe & Hazard, Hartford, CT. Previously represented by D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter Bort, Virginia H. Bort, Alexandra N. Bort, and Samantha R. Bort, individually and as trustees for the Bort Family Trust UA DTD 04/30/96 EQH-173670-T9 and EQH-852470-T9, Peter Bort IRA, and Virginia H. Bort IRA, Claimants v. Prudential Securities, Inc. n/k/a Prudential Equity Group, LLC, Respondent Case Number: 04-00111 Hearing Site: Los Angeles, California Nature of the Disput

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants James R McCullough Cheiryl Anne McCullough Name of the Case Number! 04-00110 AXA Advisors, LLC Hearing Site- Charlotte, North Carolina Nature of the Dispute: Customers vs. Member. RFPRF.SF.NTATTON OF PARTTFS Claimants, James R. McCullough and Cherryl Anne McCullough, hereinafter collectively referred to as "Claimants", were represented by P

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles G. Paddock, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Ronald H. Kabot, Respondents Case Number: 04-00100 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: William S. Bonnheim, Esq. William S. Bonnheim, PLC Palm Desert, California For Respondents

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Olin Edward Gates and Suzanne P. Gates and Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Thomas Wayne Dunn, Christel Kuberg Dunn and Jason Paul Demers Case Number: 04-00099 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Olin Edwar

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Lorraine M. Stock v. Case Number: 04-00097 Minneapolis, Minnesota Respondents Signator Investors, Inc., and Bennett E. Conklin NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Lorraine M. Stock ("Claimant") was represented by Paul J. Roshka, Jr., Esq., Roshka Heyman & DeWulf, PLC, Phoenix, Arizona. Signat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Suzette R. Whitemaine, Claimant v. Lisa K. Dry (f/k/a Lisa K. Dry Aniskovich), Bane of America Investment Services, Inc., and Bank of America, N.A,, Respondents Case Number: 04-00091 Hearing Site: Reno, Nevada Nature of the Dispute: Associated Person v. Associated Person, Member, and Non-Member REPRESENTATION OF PARTIES For Claimant: Kevin J. Mirch, Esq. Mirch & Mirch Reno,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Bernard Bobrick and Case Number: 04-00086 Hearing Site: Southfield, Michigan Respondents Merrill Lynch Pierce Fenner & Smith, Inc., and Stanley L. Eisenberg NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Bernard Bobrick ("Claimant") was represented by Lawrence M. Elkus, Esq., Law Offices of Lawrence M.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hed and Ashraff Ahmadpour and The Hed Ahmadpour Family Trust dtd 03/12/93, Claimants v. UBS Financial Services Inc., Mitchell S. Ackerman, Robert Bender & Associates, Robert L. Bender, Shahram Motamedi, Respondents Case Number: 04-00083 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member, Associated Persons, and Non-Members REPRESENTATION OF PARTIES

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael J. Arnone and Barbara C. Arnone, h/w, Individually and as Trustees of the Michael J. Arnone, D.D.S., P.A., Employees' Retirement Plan and Trust (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Daniel J. Scavone (Respondents) Case Number: 04-00082 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers v. Member and Associated Person. REPRES