Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06156 Diane Romano Name of the Respondent Hearing Site: Orlando, Florida A.G. Edwards & Sons, Inc. Frank Leloia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Diane Romano, hereinafter referred to as "Claimant": Andrew V. Tramont, Esq., Rodriguez Tramont Guerra & Nunez, P.A.,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Gerald Karlen and Pamela Karlen v. 03-06148 Denver, Colorado Nature of Dispute: Customers v. Member Firm REPRESENTATION OF PARTIES Gerald Karlen and Pamela Karlen ("Claimants") were represented by Tracy Pride Stoneman, Esq., of Tracy Pride Stoneman, PC, Westcliffe, Colorado. Stanford Group Company ("Respondent") was represented by James C. Ruh, Esq., of Holme

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Cast* Number: 03-06147 Kenny W. Wilson IS)amfi of thp Respondents Hearing Site- St. Louis, Missouri Merrill Lynch, Pierce, Fenner & Smith, Inc. and Milton H. Ohlsen Customer vs. Member Firm and Associated Person n Charles A. Seigel, Esq. of the law firm Seigel & Wolff located in St. Louis, Missouri and co- counsel Michael A. Fisher of The Stoiar Part

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06146 Barabara A. Novak Name of the Respondents Hearing Site: Chicago, Illinois Bane One Securities, Corp., Fredric R. Hoffman, and Robert Hutchinson NATURE OF THE DISPUTE Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Claimant Barabara A. Novak ("Novak") did not have attorney representation but received

Stipulated Award NASD Dispute Resolution In the Matter of Arbitration Between Names of Claimants Patrick F. McPherson and Mary F. McPherson, Individually and On Behalf of Their Joint Tenants In Common Account, Kilsarn FLP Shamrock Trust GP, Environmental Imaging Sys, Inc., Repro Technology, Inc. and Maggie McPherson Trust and Case Number: 03-06145 Hearing Location: Houston, Texas Names of Respondents Lockwood Financial Services and M

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 03-06141 Elaine C. Dewey Name of the Respondents: Hearing Site: Richmond, Virginia Scott A. Kramnick Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant Elaine C. Dewey, hereinafter referred to as "Claimant", is Pro se. Respondent Scott A. Kramnick, hereinafter referred to as "Respondent" was

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06140 James L. Lewis and Kamaliah N. Lewis, Claimants v. Credit Suisse First Boston Corporation, Respondent. ATTORNEYS: Claimants, James L. Lewis and Kamaliah N. Lewis, ("Claimants"), appeared pro se, Torrance, CA. Respondent, Credit Suisse First Boston Corporation, ("Respondent"), appeared through their in- house counsel, Andrew L. Weinberg, Esq., New York, NY. NATURE OF DISPUTE: Cu

I* « Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kashmiri Lai Mahna (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Elliott M. Kugel (Respondents). Case Number: 03-06138 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Kashmiri Lai Mahna ("Mahna"), hereinafter referred to as "Claimant": Matthew W. Woodruff, Esq., Eppenst

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' Name of Claimant Robin Early and Case Number: 03-06135 Hearing Site: Houston, Texas Name of Respondent i Prudential Equity Group, LLC '. • 'i • i NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Robin Early ("Claimant") was represented by Joel H. Pullen, Esq., Law Offices of Joel H. Pullen, San Antonio, Texas. Prudential Equity

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: ) Edward F. Devine, Helen Devine, ) Edward F. Devine and Helen Devine, ) Case Number.- 03-06133 Trustees of the Devine Revocable Trust, ) Claimants, ) Hearing Site: St. Louis, Missouri v. ) ) Royal Alliance Associates, Inc. ) Pines Financial Group, Inc. and ) SalvatoreM.Culella, ) Respondents. ) NATURE OF THE DISPUTE Customer vs. Member Firm, Assoc