Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name Claimant Joanne T. Thorn rase Number- 03-05072 Names of the Respondents Wachovia Securities, LLC Thomas Taggart Sheila Buck Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Persons. RFPRFSFNTATTON OF PARTHT.S Claimant Joanne T. Thorn, hereinafter referred to as "Claimant", was represented at the hearing

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Margaret Burroughs, Michal Burroughs and Catherine Azar v. 03-05071 Denver, Colorado Respondents Shelman Securities, Inc., SWS Securities, Inc., Kevin I. Austin and Kevin M. Weaver Nature of Dispute: Customers v. Terminated Member, Member and Associated Persons REPRESENTATION OF PARTIES Margaret Burroughs, Michal Burroughs and Catherine Azar, hereinafter

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05069 Raymond, James & Associates, Inc. Claimant v. Daniel Drew, Respondent. ATTORNEYS: Claimant, Raymond, James & Associates, Inc., ("Claimant") appeared through its in-house counsel, Leslie A. Reese, Esq., St. Petersburg, FL. Respondent, Daniel Drew, ("Respondent") appeared pro se, Marco Island, FL. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 10, 2003 CASE SUMMA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter ,C. Frank, Claimant v. Morgan Stanley Dean Witter, Inc., Respondent Case Number: 01-01523 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Peter C. Frank: For Respondent Morgan Stanley Dean Witter, Inc. Robert A. Uhl, Esq. Ryan K. Bakhtiari, Esq. Aidikoff&Uhl Beverly Hills, California Patricia A. Gomez, Esq. Morgan Stanley De

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05067 Linda Samuel Names of the Respondents Hearing Site: Boca Raton, Florida Moors & Cabot, Inc. Daniel Morales Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Linda Samuel, hereinafter referred as "Claimant": Randall W. Henley, Esq., Randall W. Henley, P.A., West Palm Beach, Florida.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shaoher Pan, Claimant v. Salomon Smith Barney, Inc. (n.k.a. Citigroup Global Markets, Inc.), William Michaelsen, David Nee, and Felipe Luna, Respondents Case Number: 03-05058 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: For Respondents: Timothy A. Canning, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William Dale Nelson Trust U/A DTD 6/22/92, Claimant v. Morgan Stanley DW Inc. and Rodney Halvorson, Respondents Case Number: 03-05056 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Roger J. Buffington, Esq. Buffington & Bowling, LLP Irvine, California For Respondents: Jonathan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05054 Donald C. Carter Name of the Respondent Hearing Site: Boca Raton, Florida Bank of America a/k/a Bank of America Securities, L.L.C. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Donald C. Carter, hereinafter referred to as "Claimant": David J. Feingold, Esq., Feingold & Kam, L.L.C., Palm Beach Gardens, Flo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant / Counter-Respondent Wachovia Securities, LLC v. 03-05052 Minneapolis, Minnesota Respondent / Counter-Claimant Joel Pearson Nature of Dispute: Member v. Associated Person and Associated Person v. Member REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant or Counter-Respondent") was represented by Douglas D. Callaway, Esq., of Wachovia Securities, Ri

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith, Inc. (Claimant) v. Nomura Securities International, Inc. (Respondent) Case Number: 03-05039 Hearing Site: New York, New York Nature of the Dispute: Member v. Member. REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch"): Howard G. Meyers, III, Esq., Meyers Meyers & Tonachio, New York, NY. Respo