STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Alton and Leila Graves and Names of Respondents Merrill Lynch, Pierce, Fenner& Smith, Inc. and John S. Kloss, Jr. Case Number: 03-05860 Hearing Site: Houston, Texas NATURE OF CASE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Alton and Leila Graves ("Claimants") were represented by Sean Greenwood, Esq. a

Revised Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf tVie Claimant Case Number- 03-05856 Richard A. Weiner Name of the Respondent Hearing Site* Charlotte, North Carolina Legg Mason Wood Walker, hie. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTTFS Claimant, Richard Weiner, hereinafter referred to as "Claimant," was represented by Michael G. Sullivan, Esq. of the firm Michael G. Sul

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05851 Karen F. DeShazo Name of the Respondents Hearing Site: Kansas City, Missouri Edward D. Jones & Co., and Mark Schwartz NATURE OF THE DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES John J. Miller, Esq., with Law Offices located in Kansas City, Missouri, represented Claimant Karen F. DeShazo, he

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerry Mazzarella IRA, Theresa Mazzarella IRA, Theresa Mazzarella TOD Linda Mele, Jerry Mazzarella TOD Frank Mazzarella, (Claimants) v. First Union Securities, Inc. n/k/a Wachovia Securities, Inc. and Anthony Rogers, (Respondents) Case Number: 03-05844 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTI

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05843 Thomas W. Christian Rollover IRA and Kathleen D. Christian IRA, Claimants v. A.G. Edwards & Sons, Inc. and Jerry Duncan, Respondents. ATTORNEYS: For Claimants, Thomas W. Christian Rollover IRA and Kathleen D. Christian IRA, ("Claimants"), appeared Jeffrey S. Salisbury, Eugene, OR. Respondents, A.G. Edwards & Sons, Inc. and Jerry Duncan, ("Respondents"), appeared through their in-ho

MODIFIED AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Raymond James Financial Services, Inc. f/k/a Robert Thomas Securities, Inc. (Claimant) vs. Michael J. Strasser (Respondent) Case Number: 03-05 842 SITUS: New York, New York. NATURE OF DISPUTE: Member v. Associated Person. REPRESENTATION OF PARTIES Raymond James Financial Services, Inc. f/k/a Robert Thomas Securities, Inc. ("RJFS") hereinafter referred to as "Claiman

NASD DISPUTE RESOLUTION AWARD NAST) DISPUTE RESOLUTION CASE: 03-05840 John R. Grab, Claimant v. Merrill Lynch Pierce Fenner & Sflorth, tic,, Respondent ATTORNEYS: For daimwrt, John R. Grab, Claimant*), appeared Win- Jeraisoa Mans, Jr. Esq., of flic finn Levin, Pa^iantomo, Thorny MitdwH, Echsner, & Proctor, PA., Pensacola, FL, For Respondent. Merrill Lynch Pierce Fewer & Smith, Inc., ("Respondent"), appeared Luther M. DOIT, Jr., Esq., of flu* firm Mayoan

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Heidi M. Stallings Rev. Trust and Heidi M. Stallings IRA, Claimants v. Morgan Stanley Dean Witter Inc., Respondent Case Number: 01-01614 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants Heidi M. Stallings Rev. Trust and Heidi M. Stallings IRA: For Respondent Morgan Stanley Dean Witter, Inc. Heidi M. Stallings In Propria Persona

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05839 Aurelio P. Jimenez, DPM, IRA, Claimant v. Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc., Lisa K. Keene, and Jody A. Alexander, Respondents. ATTORNEYS: Claimant, Aurelio P. Jimenez, DPM, IRA, ("Claimant"), appeared pro se, Oxford, WI. Respondents, Morgan Stanley DW, Inc., f/k/a Dean Witter Reynolds, Inc., Lisa K. Keene, and Jody A. Alexander, ("Respondents), appeared through

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05838 Edward F. Shell, Jr., Claimant v. Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc., and Peter J. Zarkowski, Respondents. ATTORNEYS: For Claimant, Edward F. Shell, Jr., ("Claimant"), appeared Martin J. Brosnan of the firm Caputo Brosnan P.C., Warren, MI. Respondents, Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc. and Peter J. Zarkowski, (collectively "Respondents") app