Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Hai'mants; Cast* Number- 03-05169 William P. Gordon, Sr. Carolyn E. Gordon Names nf the Resprmrif*nts He-jmng Site* Washington, DC Merrill Lynch, Pierce, Fenner & Smith, Inc. Jeffrey Hale Nature of the Dispute: Customers vs. Member and Associated Person. OF PARTTF.S Claimants, William P Gordon, Sr. and Carolyn E. Gordon, hereinafter collectively r

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05165 UBS Financial Services Inc. f/k/a UBS PaineWebber, Inc., Claimant v. Victor Patricio Galvez, Respondent. ATTORNEYS: For Claimant, UBS Financial Services Inc. f/k/a UBS PaineWebber, ("Claimant"), appeared Laura Martin, Esq., of the firm Davidson & Grannum, LLP, Northvale, NJ. Respondent, Victor Patricio Galvez, ("Respondent"), appeared pro se, Chula Vista, CA. NATURE OF DISPUTE: Mem

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Homer R. Kincaid and Lula M. Kincaid (a/k/a Lulu M. Kincaid) (Claimants) v. Noel Belmonte, Kimberly Carrella, John Kawas, Kimberly Jean Misaraca, Howard Braff, Michael Davison, RBC Dain Rauscher, and Kimberly Securities, Inc. (Respondents) Case Number: 03-05163 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers vs. Members and Associated Persons. REPRESENTATION OF PARTIES

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Charlotte C. Rosen, individually and as Trustee on behalf of the Charlotte C. Rosen Trust Names of the Respondents Sigma Planning Corp. a/k/a SPC Sigma Financial Corporation Norman Liebowitz Case Number. 03-05161 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PA

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Gary and Kerensa Gattis and Names of Respondents Goldman, Sachs and Company and Bradford V. Weston Case Number: 03-05158 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Gary and Kerensa Gattis ("Claimants") were represented by Sean F. Greenwood, Esq., Heard, Robins,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: FutureTrade Securities, LLC, Claimant v. Diversified Global Capital Group, Inc., Respondent Case Number: 03-05151 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Member REPRESENTATION OF PARTIES For Claimant: Murray Finebaum, Esq. FutureTrade Securities, LLC Lake Forest, California For Respondent: Clinton L. Hubbard, Esq. Law Offices of Clinton L.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John L. Douglas, Claimant v. Firebrand Financial Group, Inc., GKN Securities Corporation, BNY Clearing Services LLC also known as Schroder & Co., Inc., Edward B. Martin, Jeffrey A. Smith, Marty R. Schaffer and Robert H. Gladstone, Respondents Case Number: 03-05149 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Members, Non-Member and Associated Persons

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Martha E. Jester IRA Name nf the Respondents Merrill Lynch, Pierce, Fenner, & Smith, Inc. J. Brendan Kelleher Case Number: 03-05143 Hearing Site: Charlotte, North Carolina Nature of Dispute: Customer vs. Member and Associated Person. KKPKF.SFNTATTON OF PAKTTF.S Claimant, Martha E. Jester IRA, hereinafter referred to as "Claimant", was

- i Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank and Cynthia Wittosch, (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and David P. Conrad, (Respondents) Case Number: 03-05142 Hearing Site: Chicago, IL Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Frank and Cynthia Wittosch (hereinafter collectively referred to as "Claimants"):

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Florian and Dawn Weinhaus v. 03-05141 Minneapolis, Minnesota Respondents Securities America, Inc., Charles A. Blossom and Prestige Planning, Inc. Nature of Dispute: Customers v. Member, Associated Person and Non-Member REPRESENTATION OF PARTIES Florian and Dawn Weinhaus ("Claimants") were represented by Harvey H. Eckart, Esq., St. Paul, Minnesota and Tod