Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Manuel Van Dugas, individually and in his capacity as usufructuary of the Martha Park Dugas Testamentary Trust Names of the Respondents Argent Financial Group, Inc., Argent Advisors, Inc., Argent Investment Services, Inc., and Robert D. Grimes Case Number: 03-05613 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05607 American Express Financial Advisors, Inc., Claimant v. David W. Cohn, Respondent. ATTORNEYS: Claimant, American Express Financial Advisors, Inc., ("Claimant"), appeared through its representative, Michael Northrop, Minneapolis, MN. Respondent, David W. Cohn, ("Respondent"), appeared pro se, Saint Joseph, ML NATURE OF DISPUTE: Member v. Customer DATE FILED: July 30, 2003 CASE SU

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05605 Kenneth M. Vale, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant Kenneth M. Vale ("Claimant") appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared R. Allen Kilgore, Jr., Esq., of the firm

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05603 Richella Coleman, Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant Richella Coleman ("Claimant"), Win. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent"), Julie Wilson Portera, Esq., of the firm Maynard, Cooper & Ga

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard L. Hendricks IRA (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 03-05601 Hearing Site: Boston, Massachusetts Nature of the Dispute; Customer v. Member. REPRESENTATION OF PARTIES Claimant Richard L. Hendricks ("Hendricks") hereinafter referred to as "Claimant" appeared prose. Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. (

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margaret Chase (Claimant) v. Frank Wong and MML Investors Services, Inc. (Respondents) Case Number: 03-05597 Hearing Site: New York City, NY Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Margaret Chase hereinafter referred to as "Claimant": Brian Reis, Esq., New York, NY. Respondent Frank Wong ("Wong") hereinaf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jose Maria Pascual (Claimant) v. Prudential Equity Group, Inc., Wachovia Securities, LLC, and Prudential Securities, Inc., A Division of Wachovia Securities, LLC (Respondents) Case Number: 03-05596 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Non-Member. REPRESENTATION OF PARTIES Claimant Jose Maria Pascual ("Pascual") hereinafter referred to as "

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of the Claimants Case Number: 03-05589 ERIC P. AND DORIS KOACH, Hearing Site: Houston, Texas and Names of Respondents WACHOVIA SECURITIES LLC, formerly known as WACHOVIA SECURITIES, INC. and RAYMOND C. GIBSON NATURE OF DISPUTE Customers vs. Member Firm and Associated Person REPRESENTATION OF THE PARTIES Doris and Eric Koach, ("Claimants") were

Award NASD Dispute Resolution In the Matter of the Arbitration Between: p nf flip riaiififirftg Past* TsJurnhp-r- 03-05587 James D. and Roberta S. Tipton H^flring Sit?' Dallas, Texas Edward D. Jones & Co., L.P. and Michael Raymond Kamel OT7 TTTF Public Customer v. Member Firm and Associated Person Claimants James D. and Roberta S. Tipton, hereinafter collectively referred to as "Claimants": Steven J. Berry, Esq. of the firm of Wright & Berry

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Walter E. Cubberly, 111 and Rebecca D. Cubberly vs. Case Number: 03-05585 Hearing Site: Houston, Texas Names of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. and John B. Zodrow NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Walter E. Cubberly, III and Rebecca D. Cubberly ("Clai