NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04757 National Securities Corporation, Claimant v. Randall B. Ram, Respondent. ATTORNEYS: ~ ~ ~ ~ ~ ~ ~ ~ ~^' "~~~" For Claimant, National Securities Corporation, ("Claimant"), appeared James K. Barbee, of the firm Golbeck, Roth & Colachis, PLLC, Seattle, WA. Respondent Randall B. Ram, ("Respondent"), did not enter an appearance in this matter. NATURE OF DISPU

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rollie S. Olson, Trustee for the Benefit of the Rollie Olson Family Trust U/A/D September 25, 1996 and Rollie S. Olson, Trustee for the Benefit of the Randall Olson Family Trust U/A/D September 26,1996 (Claimants) v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc., Richard Drayton, Jr., and Douglas Henry DeLong (Respondents) Case Number: 03-04743 Hearing Site

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04742 Paul Joseph Sagel, Claimant v. Charles Schwab & Co., Inc., Respondent. ATTORNEYS: Claimant appeared pro se, Maineville, OH. For Respondent appeared in-house counsel Geoffrey Moore, Esq., San Francisco, CA. NATURE OF CLAIM: Customer v. Member Firm DATE FILED: June 30, 2003 CASE SUMMARY: Claimant alleged that Respondent failed to execute an order to sell two thousand (2000) share

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the, Claimant Mianne Yenca Name, nf the. UBA Financial Services, Inc. ffn/a UBS PaineWebber, Inc. r 03-04740 Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Julianne Yenca, hereinafter referred to as "Claimant", was represented by Vicki Kuftic Home, Esq., Attorney at Law, Pittsburgh, P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, of the Claimant Case Number: 03-04737 Morgan Stanley DW Inc. e of the Respondent Hearing Site: Philadelphia, PA Michael Scott Simmons Nature of the Dispute: Member vs. Associated Person. RFPRFSFNTATTON OF PARTIES Claimant, Morgan Stanley DW Inc. ("Morgan Stanley"), hereinafter referred to as "Claimant", was represented at the hearing by Robert Scremin, Esq., Kane & Fis

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Michael L. Limond Lauretta Limond and Michael Limond, Joint Account Michael L. Limond and Lisa J. Taylor, Joint Account Michael L. Limond and Marilyn Limond, Joint Account Michael L. Limond and Ellen Sperling, Joint Account Names of the Respondents UBS Financial Services, Inc., f/k/a UBS PaineWebber, Inc. Randy L. Stark Case Numb

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wanda Borden, Claimant v. Wells Fargo Investments, LLC and Carl I Cottingham, Respondents Case Number: 03-04733 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Scott A. Shorr, Esq. Emily S. Courtnage, Esq. Stoll, Stoll, Berne, Lokting & Snlachter, PC Portland, Oregon For Res

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Joseph Brodesser, individually and as trustee of the Joseph Brodesser Rev Trust dtd 6/1/00 and Dolores M. Brodesser, individually and as trustee of the Dolores M. Brodesser Rev Trust dtd 6/1/00 Names of the Respondents Case Number: 03-04727 Asset Management Securities, Corp. James Albert Barry, Jr. James Michael Barry Hearing Sit

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Linda J. Haley and Thomas K. Haley and 03-04722 Chicago, Illinois Name of Respondents A.G. Edwards & Sons, Inc. Larry J. Anderson Robert L Schrieber Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OFfARTJES Linda J. Haley and Thomas K. Haley ("Claimants") were represented by Laurence M. Landsman, Esq., Block

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Erwin J. and Andrea M. Shustak, Claimants v. Miller & Schroeder Financial, Inc., Respondent Case Number: 01-01492 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Erwin J. Shustak, Esq. Shustak Jalil & Heller San Diego, California For Respondent: Lindsay G. Arthur, Jr., Esq. Arthur, Chapman, Kettering, Smetak & Pikala, P.A. Minneapol