Award NASD Dispute Resolution In the Matter of the Arbitration Between: Matthew M. Gourlay (Claimant) v. UBS Warburg, LLC n/k/a UBS Securities, LLC (Respondent) Case Number: 03-05204 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Matthew M. Gourlay ("Gourlay") hereinafter referred to as "Claimant": Paul T. Shoemaker, Esq., Greenfield Stein & Senior, LLP, New York, NY. Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc. (Claimant) v. David Ritter and Stacey Rosenblatt (Respondents) Case Number: 03-05200 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customers. REPRESENTATION OF PARTIES « Claimant Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kan

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Susan P. Hollern, Trustee of the William H. Price, E, Trust v. 03-05197 Denver, Colorado Respondents Wachovia Securities, LLC and Randall S. Russell Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Susan P. Hollern, Trustee of the William H. Price, n, Trust, ("Claimant") was represented by Michael G. Martin, Esq., and Susa

STIPULATED AWARD NASD DISPUTE RESOLUTION _J.n theJto&eLQf^ ....... _ ...... ____ ................ Name of Claimant Roy D. Cole Case No: 03-05193 Names of Respondent Hearing Site: Houston, Texas A.G. Edwards & Sons, Inc. NATURE OF THE CASE Associated Person v. Member Firm REPRESENTATION OF THE PARTIES Roy D. Cole ("Claimant") was not represented by counsel. A.G. Edwards & Sons, Inc. ("A.G. Edwards") was represented by Nuviah Shirazi,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Gregory Bierals, individually, on behalf of his IRA and as trustee of Electrical Design Institute, Inc. Names of the Respondents Investacorp, Inc. Steven Jay Fraidstern Case Number: 03-05187 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Gregory

Award NASD Dispute Resolution In the Matter of the Arbitration Between: i Name of the Claimant Case Number: ! 03-05186 Wachovia Securities, LLC Name of the Respondent Hearing Site: Chicago, Illinois Sara Aiping Eng NATURE OF THE DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Renan Sugarman, Esq., with Law Offices located in Chicago, Illinois, represented Claimant Wachovia Securities, LLC, (Wachovia). Gregory J. Abbott

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Gary and Joan Gretchen Biggs and 03-05179 Phoenix, Arizona Name of Respondents Wells Fargo Investments, LLC Matthew C. Boyd Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Gary and Joan Gretchen Biggs ("Claimants") were represented by Robert D. Mitchell, Esq., Mitchell Law Offices, P.C., Phoenix, Arizon

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Tlai'mant Case Number- 03-05176 J.J.B. Milliard, W. L. Lyons, Inc. Names of the Respondents Hearing Site 1 Charlotte, North Carolina Henry Benthall Marshall, m Phillip Jason Luquire Nature of the Dispute: Member vs. Associated Person. OF PARTIES Claimant J.J.B. Milliard, W. L. Lyons, Inc. ("ML") was represented by Matthew J. Morelli, Ulmer

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hannelore Kutz, Claimant v. Wells Fargo Securities Inc. and Deborah Ann Lindley, Respondents Case Number: 03-05173 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Thomas H. Porter, Esq. Law Offices of James Jay Seltzer Emeryville, California For Respondents: Anthony

Amended Awiard NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Name of Claimant James M. McEntyre, IRA t ' ' Name of Respondent j E*Trade Securities, Inc. ' • Case Number: 01-01534 Hearing Site: Tampa, FL REPRESENTATION OF PARTIES For James M, McEntyre, IRA, hereinafter referred to as "Claimant": James M. McEntyre, Sarasota, FL. For E*Trade Securities, Inc. ("E*Trade"), hereinafter referred to as "Respondent": John Bers