Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lorraine M. Dorsey Trust U/A dtd 1/22/88 and Grace M. Wallace, Claimants v. Merrill Lynch, Pierce, Fenner, & Smith, Inc., Respondent Case Number: 03-06283 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Ryan K. Bakhtiari, Esq. Orousha Brocious, Esq. Aidikoff & Uhl Beverly Hills, California For

09/28/2004 16:54 FAX, 202 639 6604 VINSON & ELKIN ™ y3/*o/iiUU4 iliO*T-AX • Z02 728 8082 NASD DISPUTE RESOLUTION 1002/006 Award NASD Dispute Resolution In the Matter of the Arbitration Between: ** nf thft PlaimflTit f!age Number- 03-06282 Paul Thompson Name of the Respondent "Rearing .Sita: Baltimore, Maryland Indianapolis Securities, Inc. Alex Rabinovich Nature of the Dispute: Customer vs. Member and Associated Person. Claimant, Paul Thomps

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06281 Tamara Baroni Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Tamara Baroni, hereinafter referred to as "Claimant": Howard R. Behar, Esq., Howard R. Behar, P.A., Aventura, Florida. For Merrill Lynch, Pie

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Paul A. Volz, individually Paul A. Volz Rev. Lvg. Trust UAD 9/22/98 Names of the Respondents Morgan Stanley DW, Inc. John Albrecht Case Number: 03-06280 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Paul A. Volz, individually, and Paul A. Volz Rev. Lvg. Trust U

Award NASD Dispute Resolution In the Matter of the Arbitration Between: of the Climant Deborah Lee Morse Mampfl of tho Respondents Smith Barney, a Division of Citigroup Global Markets^ Inc. Aubrey Lee Price Case Number: 03-06276 : Atlanta, Georgia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Deborah Lee Morse, hereinafter referred to as "Claimant* 1 : Henry D. Fellows, Esq.,

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Terry Coleman and Josette Coleman and 01-01651 Phoenix, Arizona Name of Respondent Charles Schwab & Co., Inc. REPRESENTATION OF PARTIES Terry Coleman and Josette Coleman ("Claimants") were represented at the hearing by Rosemary J. Shockman, Esq., Phoenix, Arizona. Prior to the hearing by Terry Coieman. Charles Schwab & Co., Inc. ("Respondent")

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ellen Levin and Names of Respondents Citigroup Global Markets, Inc., and Kenneth N. Wides Case Number: 03-06275 Hearing Site: Houston, Texas Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Ellen Levin ("Claimant") was represented by Richard A. Roth, Esq., The Roth Law Firm, PLLC, New York, New York. Citigroup Global

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant i James Gentile and . Names of Respondents Lehman Brothers, Inc., James P. Meyer, and SG Cowen Securities Corporation Case Number: 03-06269 Hearing Site: Chicago, Illinois NATURE OF DISPUTE Customer v. Member Firms and Associated Person ! , , •.'.,-.' REPRESENTATION OF PARTIES , ' • ' ' ' ' '

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anne M. Sherman (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, hie. and J. Colby King (Respondents) Case Number: 03-06261 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Anne M. Sherman ("Sherman") hereinafter collectively referred to as "Claimant": David M. Rickert, Esq., Weisbro

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06257 American Express Financial Advisors, Inc., Claimant v. Nancy L. Swanson, Respondent. ATTORNEYS: Claimant, American Express Financial Advisors, Inc., ("Claimant"), appeared through their Manager, Michael Northrop, Minneapolis, MN. Respondent, Nancy L. Swanson, ("Respondent"), did not submit an answer in this case. NATURE OF THE DISPUTE: Member v. Customer DATE FILED: August 28, 2003