Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant/Counterrespondent American Express Financial Advisors, Inc. i : Name of the Respondent/Counterclaimant Desmond Brivik Case Number: 03-04719 Hearing Site: Kansas City, Misspuri Type of Controversy: Member Firm v. Associated Person REPRESENTATION OF PARTIES ^^^ == ^^^^ =s====== ^ = ^^ == ^^ = ^^^ :

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Renee C. Kaplan, individually and as Trustee on behalf of the Renee C. Kaplan Trust Case Number: 03-04716 Names of the Respondents Sigma Planning Corporation a/k/a SPC Sigma Financial Corporation Norman J. Liebowitz Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer v. Non-member, Member and Associated Person. REPRES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Maria Thayer Nass Case Number: 03-04714 Name of the Respondent The Ayco Company, L.P. Hearing Site: Albuquerque, New Mexico NATURF OF DISPUTF Customer vs. Non-Member Firm II= - Clinton W. Marrs, Esq. of the law firm Vogel Campbell & Blueber, P.C., located in Albuquerque, New Mexico, represented Claimant, Maria Thayer Nass ("Nass"), herein

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Jimmy Weidner, Fred Weidner, Melvin Bass, Individually and as Custodian for Justin W. Rutland Ugma, Brittany Rutland Ugma, Brandon Myers Ugma, Amanda Myers Ugma, Leon Gurka, Ladoskka Gurka, Individually and on behalf of her IRA, and Joseph and Regina Gurka, Individually and on behalf of their IRAs and Case Number: 03-04713 Hearing Sit

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Amy M. McCleary, Claimant v. Wells Fargo Securities, LLC and Timothy J. Owen, Respondents Case Number: 03-04710 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES 1 For Claimant: Michael Esler, Esq. Esler, Stephens & Buckley Portland, Oregon For Respondents: Tanya A. Durkee, Esq. Lane Po

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Amir Heshmatpour and Kathy Heshmatpour, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Nicholas A. DeNucci, Respondents Case Number: 03-04709 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Bruce D. Oaks, Esq. Richard B. Fosher, Esq. Oakes & Fosher, LLC St. Lo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael J. DiSanto (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Scott Polish, and Michael Mawby (Respondents) Case Number: 03-04706 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Michael J. DiSanto ("DiSanto") hereinafter referred to as "Claimant": Brian P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Earl Weingarden TTEE, Earl Weingarden Trust UA DTD 2/25/77 Shirley Weingarden TTEE, Earl Weingarden Irrev. Trust UA DTD 12/14/00 Name of the Respondent Prudential Securities, Inc. Case Number: 03-04704 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Earl Weingarden TTEE, Earl W

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Arnold Castor, Rita Castor and Arnold Castor and Rita Castor as Trustees of the Arnold Castor Trust Names of the Respondents DB Alex Brown, LLC and Jack Casey Case Number: 03-04699 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Arnold Castor, Rita

Stipulated Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04695 Jeffrey R. Gordon Names of the Respondents Hearing Site: Boca Raton, FL Cynthia Harris, individually and as Trustee of the Cynthia Harris Living Trust U/A DTD 2/18/00 Nature of the Dispute: Associated Person vs. Customers. REPRESENTATION OF PARTIES For Jeffrey R. Gordon, hereinafter referred to as "Claimant": Peter J. Ald