Award NASD Dispute Resolution In the Matter of the Arbitration Between: Omar Espinosa, Claimant v. T.D. Waterhouse Investor Services, Respondent: Case Number: 03-04785 Hearing Site: Los Angeles, California For Claimant: For Respondent: Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Richard Gibson, Esq. Law Offices of Richard Los Angeles, California i- Ctibson, APC John L. Erikson, Jr., Esjf Jones, Bel

Award NASD Dispute Resolution GST In the Matter of the Arbitration Between: Joseph S. Scher, as an individual, and as Trustee and Representative for, and Joseph S. Scher Trust; Trust U/W of Eleanor Scher CL A; Marilyn Haberma^iScher Mark S. Scher GST Trust; Julie Lynn Nebel GST Trust; James A. Scher Habermas-Scher Present Interest Trust; Mark S. Scher Present Interest Trust Present Interest Trust; James A. Scher Present Interest Trust; Anika Haberinas

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: John C Zeliing and Shelley M. Zelling, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Respondent Case Number: 03-04781 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Samuel B. Edwards, Esq. Shepherd, Smith & Edwards, L.L.P. Houston, Texas For Respondent: Bruce W. Day, Esq

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ralph and Wilma Mosa, Claimants v. Gregg Ogiela and RBC Dain Rauscher Inc., Respondents Case Number: 03-04779 Hearing Site: Las Vegas Nevada Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Ralph and Wilma Mosa ProSe Cory Mosa, pursuant to Power of Attorney Las Vegas, Nevada For Respondents: Amelia D

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Hugh and Sandra Gallagher and Name of Resondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Colin Hoehn 03-04778 Chicago, Illinois Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Hugh and Sandra Gallagher ("Claimants") were represented by Andrew J. Stoltmann, Esq., Stoltmann Law Offic

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-04768 Robert L. Mott, IRA Robert L. Mott and Dorothy K. Mott, Tenants by the Entirety Anita Lee Davis, Individually Anita Lee Davis, IRA Anita Lee Davis ACF Dorothy E. Davis Anita Lee Davis ACF Leeanne E. Davis Anita Lee Davis ACF Robert Boush Davis Boush Davis, IRA Elaine M. Sullivan, Individually Elaine M. Sullivan, IRA

Oct-05-2004 I1:54ai From-NASDA DISPUTE RESOLUTION M86 P.002/010 F-877 Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald J. Rudenski., Claimam v. UEOC Investment Services, Inc., Carrie C.J. Leeflang and Jack Darwin Fannin, Respondents Case Number: 03-04765 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant; Rod M BidgoIL,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harold Sloves and Lisette Sloves, Claimants v. Prudential Equity Group, Inc., Steven G. Carayanis and Suzanne K. Castruita, Respondents Case Number: 03-04764 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: In Propria Persona For Respondents: Mildred M. McLaney, Esq. Prudential Equity Group, Inc. New York, New York CASE INFORMATIO

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants James B. Neathery and Marilyn A. Neathery and Case Number: 03-04760 Hearing Site: Houston, Texas Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and David W. Nethery NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES James B. Neathery and Marilyn A. Neathery ("Claimants") were r

Jul-29-20D2 11:01an From-NASD DISPUTE RESOLUTION T-683 P.002 F-923 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Grace M. Pescheli, Individually a Claimants v. Soloman Smith Barney Inc., Shearson Lehman Hutton and Eugene P. Depatie, Respondents Case Number: 01-01493 d as Trusiee for ihe Grace M. Pescheli Fam Hev Trust, Hearing Site: Los Angeles, California REPBESENTATION OF PARTIES POT Claimants: For Res