Award NASD Dispute Resolution In the Matter of the Arbitration Between: Therese D. Abdoush, Claimant v. Saad D. Abdoush, Respondent Case Number: 03-04960 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Associated Person REPRESENTATION OF PARTIES For Claimant: Paul W. Thomas, Esq. Law Offices of Paul W. Thomas & Associates Carlsbad, California For Respondent: In propria persona Tustin, California CASE INFORMAT

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Arnold Forseth and Janet Forseth and 03-04959 Milwaukee, Wisconsin Name of Respondents Investors Advisory Group, Inc., Mark Neumann, Raymond James Financial Services Nature of the Dispute: Customer vs. Member Firm and Associated Person. > REPRESENTATION OF PARTIES Arnold Forseth and Janet Forseth ("Claimants") were represented by Sean Lanphier of Mal

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Boniface Maduka and Boniface Maduka, IRA, Claimants v. Wachovia Securities, LLC and Martin Fouts, Respondents Case Number: 03-04949 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Richard M. Layne, Esq., Layne & Lewis Portland, Oregon For Respondents: Fredrick D. Huebner, Esq. Cab

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Roberta D. Gates Names of the Respondents Allen Douglas Securities, Inc. Moti T. Khemlani Case Number: 03-04945 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Roberta D. Gates, hereinafter referred to as "Claimant": Austin N. Aaronson, Esq., Aaronson, Austin, P.A.,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bachir Jirari, IRA/SEP, Claimant v. Morgan Stanley Dean Witter and Steve Carmandalian, Respondents Case Number: 03-01518 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Kenneth S. Gaines, Esq. Law Office of Kenneth S. Gaines Woodland Hills, California For Respondents: Kevin K. Fitzgerald, Esq. Jones, Bell, Abbott, Fleming & Fit

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-04943 Margaret Shields Braden TTEE U/A dated 01/20/1995 Margaret S. Braden Names of the Respondents Hearing Site: Orlando, Florida Merrill Lynch, Pierce, Fenner & Smith Incorporated James L. Smythe Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Margaret Shields Braden T

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Loney Family Trust "W", The Loney Family Trust "H", Claimants v. Steve Ruhland, Lisa Sharp, and Charles Schwab and Co., Inc., Respondents Case Number: 03-04941 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Jeff Dennis Ferentz, Esq. The Law Offices of Jeff Dennis Ferentz, In

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dennis M. Cavallo, Claimant v. Morgan Stanley DW Inc. and Lesley R. Lederer, Respondents Case Number: 03-04939 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondents: Brian L. Zagon, Esq. Resolution Law Group P.C. Lafayette, California Richard L. Ja

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roderick F. Guinn, individually and as beneficial owner of the Roderick F. Guinn IRA Rollover Account, Claimant v. Patricia Meidell, Associated Securities Corp., and Associated Planners Investment Advisory, Inc., Respondents Case Number: 03-04937 Hearing Site: Reno, Nevada Nature of the Dispute: Customer v. Member, Non-Member, and Associated Person REPRESENTATION OF PARTIES For

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dean Yannias, . Case Number:- 03-04935 Claimant; v. . . . Hearing Site: Chicago, Illinois Merrill Lynch, Pierce, Fenner & Smith, Inc. and Steven LaPorta, Respondents. NATURE OF THE DISPUTE Customer vs. Member Firm and AssociatedPerson REPRESENTATION OF PARTIES Dean Yannias, ("Yannias"), hereinafter referred to as "Claimant": Jeffrey M. Gershon, Esq. of