Award NASD Dispute Resolution In the Matter of the Arbitration Between: Catherine C. Gheen, Claimant v. Morgan Stanley Dean Witter and Patrick P. Shannon, Respondents Case Number: 03-06228 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Anthony M. Englese, Esq. Attorney At Law San Francisco, California For Respondents: Kenneth C. Mennemeier, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Katherine Stuckey, M.D., Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Philip J. Loftus, Respondents Case Number: 03-06227 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member and Associated Person i REPRESENTATION OF PARTIES For Claimant: Steve D. Larson, Esq. Tina Beatty-Wahers, Esq. Stoll Stoll Berne Lokting &ShlachterP.C Port

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Pan-American Financial Advisers, Inc. Case Number: No. 03-06225 (Master Case) Name of the Respondent: Dale A. Pope Hearing Site: Philadelphia, Pennsylvania In the Matter of the Arbitration Between: Name of the Claimant: Dale A. Pope Case Numbers: No. 03-06656 (Subordinate Case) Names of the Respondents: Pan-American Fi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mildred Lillis (Claimant) v. Cantone Research, Inc. and Anthony Cantone (Respondents) Case Number: 03-06223 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Mildred Lillis ("Lillis") hereinafter referred to as "Claimant": Marc S. Gottlieb, Esq., New York, NY. Respondents Cantone Research, Inc. ("

Award NASD Dispute Resolution fo ihe Matter of the Arbitration Between: Thomas G. Meyers (Claimant) v. MerriU Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 03-06222 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Thomas G. Meyers ("Meyers") hereinafter referred to as "Claimant": Michael J. Stamen, Esq., James, tfoyer, Newcomer & Srailjanich, P.A., Tampa, FL. Respondent Me

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patrick Afflitto and MaryAnn Afflitto (Claimants) v. UBS Financial Services, Inc. and Matthew Steinfeld (Respondents) Case Number: 03-06220 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Patrick Afflitto ("P. Afflitto") and MaryAnn Afflitto ("M. Afflitto") hereinafter collectively referred to

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nettye M. Henderson, Claimant v. A.G. Edwards & Sons, Inc. and Philip H. Woods Respondents Case Number: 03-06219 Hearing Site: Dallas, Texas NATURE OF THE DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Nettye M. Henderson, hereinafter (collectively) referred to as " "Claimant": Hector G. Longoria, Heard, Robins, Cloud,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name Estate of Dorothy V. Trueheart Linda J. Steiner Robert Herrick Case No. 01-01649 Ferris, Baker Watts, Inc. Gilbert F. Hartman, Jr. ing Site- Baltimore, Maryland HF Claimants, Estate of Dorothy V. Trueheart ("Trueheart"), Linda J. Steiner ("Steiner") and Robert Herrick ("Herrick"), hereinafter collectively referred to as "Claimants": Thomas C. Costello,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mollie Schartoff, individually, and on behalf of the Mollie Schartoff IRA, Claimant v. Diversified Securities, Inc., Louis S. Faubert, and Phillip M. Faubert, Respondents Case Number: 03-06213 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Ronald A. Marron, Esq. Law Offices

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Albert A. Vannini and Lillian Vannini and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., and John Oswald Case Number: 03-06209 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Albert A. Vannini and Lillian Vannini ("Claimants") was represented by