AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Janice K. Hawks v. 03-05376 Denver, Colorado Respondent '. Mountain States Investments Nature of Dispute: Customer v. Member Firm , . ' ' ' • . i i . i , REPRESENTATION OF ^ARTIES i • Janice K. Hawks ("Claimant") was represented by John R Head, Esq., of Head & Associates, P.C., Denver, Colorado. ' . p ' ' • Mountain

Award NASD Dispute Resolution In the Matter of the Arbitration Between: T " 03-05374 Mitchell and Glenda Patrick ing ftitf* 1 Dallas, Texas Baird Management Corporation; Billie Baird, as Independent Executrix of the Estate of Kay H. Baird, Deceased; Richard A. Baird; and The Financial Source Group, Inc. NAJTTRF Of TlfTy flTSPTTJf Public Customer v. Member Firm, Non-Member Firm and Associated Persons Claimants Mitchell and

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lisa Lippincott, Claimant v. Mutual Services Corporation and Robert D. Cornell, Respondents Case Number: 03-05373 ' Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: L. Louis Raring, Esq. The Raring Law Firm Trabuco Canyon, California / + - G. Thomas Flemming, III, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Magnus and Ida Forth Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 03-05367 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Magnus and Ida Forth, hereinafter collectively referred to as "Claimants": Adam S. Doner, Esq., Gordon & Doner, P.A., Palm Beach

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Amy Wellman and Harold Wellman, Jr., individually and as Personal Representative of the Estate of Harold Wellman, Sr. Names of the Respondents Charles Schwab & Co., Inc. Great-West Life Insurance and Annuity Company Case Number: 03-05363 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTAT

Award NASD Dispute Resolution, Inc. COPY In the Matter of the Arbitration Between: R. Karen Hatch and Dwaine Hatch and their marital community, and Ina Virginia Richards, Claimants, v. Southern Financial Group, Inc., and Jeff Jenovese, Respondents. Case Number: 01-01553 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimants: Ms. Marianne K. Jones Jones Law Group PLLC 2300 130th Avenue N.E. Suite A-103 Bellevue, WA 9800

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gulabben B. Patel, Claimant v. Wells Fargo Investments, LLC, and Sean Chatman, Respondents Case Number: 03-05360 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: David M. McKim, Esq. Law Offices of David M. McKim San Mateo, California For Respondents: Robert T. Sullwold, Es

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wedbush Morgan Securities, Inc., Claimant v. Rene Henriksen, Respondent Case Number: 03-05359 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondent: Judy Louie, Esq. Wedbush Morgan Securities, Inc. Los Angeles, California Thomas E. Francis, Esq. Bohm, Francis, Kegel & Ag

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wilbert H. McGaw, TTEE McGaw Family Trust and McGaw Family Residual Trust, Claimant v. Prudential Securities, Inc. and David Sear, Respondents Case Number: 03-05356 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: R. Craig Zafis, Esq. R. Craig Zafis, APC San Diego, Californi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lila Faria Individually and as Trustee of the Lila Faria Living Trust dtd 6/2/00, Claimants v. UBS Paine Webber Inc. (n/k/a UBS Financial Services Inc.) and George S. Sellers, Jr., Respondents Case Number: 03-05355 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Thomas C.