STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Phiilis Rienstra Jeffrey, Individually and as Beneficiary of Robert Jeffrey (deceased) IRA and Case Number: 03-05918 Hearing Site: Houston, Texas Names of Respondents Metropolitan Life Insurance Co., MetLife Securities, Inc., and Jens F. Busch, Jr. NATURE OF DISPUTE Customer v. Member Firms and Associated Person REPRESENTATION OF PA

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Judith Feinberg, Chester Feinberg and Chester Feinberg IRA (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and John Bogart (Respondents) Case Number: 03-05914 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Judith Feinberg ( C 'J. Feinberg"), Chester Feinberg ("C. Feinber

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Patricia Ann Walters and 03-05905 Phoenix, Arizona Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney S. Douglas Cornell Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Patricia Ann Walters ("Claimant") was represented by Mark D. Lammers, Esq., Anson, Lammers & Barkl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bob M. Cohen as Trustee for the Bob Cohen and Associates Law Corp. Profit Sharing Plan, Claimant v. Bear Stearns & Co., Inc., Respondent Case Number: 03-05899 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Jeffrey B. Kaplan, Esq. Dimond Kaplan & Rothstein, P.A. Miami, Florida For Respondent: Stacey M. Garr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: g nf thp rjaimfl^f Page "Nf^p^h^- 03-05887 BNY Capital Markets, Inc. Hearing Site: Dallas, Texas CSG Investments, Inc.; Deal Bank; and, Beal Capital Markets, Inc. NATTT3F Member Firm v. Non-Members with Contract to Arbitrate and Non-Member without Contract to Arbitrate RFPT3FSFNTATTOTV OF PAKTTFS Claimant BNY Capital Markets, Inc., hereinafter referred to as "Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Howard Rosencrans (Claimant) v. HD Brous & Co., Inc., Howard Brous, and Robert Brous (Respondents) Case Number: 03-05886 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Howard Rosencrans ("Rosencrans") hereinafter referred to as "Claimant": Steven Altman, Esq., Altman & Company, P.C.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Werner A. Hradecky, Werner A. and Evette Hradecky, and Werner A. Hradecky, IRA, Claimants v. Centex Securities, Inc., Thomas Vincent Moore, and Ronald Duane Brouillette, Jr., Respondents Case Number: 01-01615 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Charles E. Wheeler, Esq. Cozen and O'Connor San Diego, California For Respondent Centex

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia Morrow and Patricia Morrow as Trustee for the Morrow Family Trust dtd 9/27/1988, Claimants v. Morgan Stanley DW Inc., Robert F. Pondt, Jr., and Gary A. Hamm, Respondents Case Number: 03-05880 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Michael Huberman, Esq. H

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Estate of Joseph Sportello, Isobel Sportello, Peter Sportello, and Annmarie Sportello (Claimants) v. A.G. Edwards & Sons, Inc. and Jim Cohlmia (Respondents) Case Number: 03-05862 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants The Estate of Joseph Sportello ("The Estate of Joseph Sportello

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of tbp Claimant Case Number; 03-0^861 Stephen H. Downs, Trustee for The Tiede Metz & Downs, P.C. Profit Sharing Plan f . • Name of the Respondents Hearing Site- Indianapolis, Indiana McDonald Investments, Inc. and Philip D. Ypung TVATTTPF HF Customer vs. Member Firm and Associated Person FP NTATTOT O Stephen H. Downs, Esq. appeared for Stephen H. Downs, Trustee