AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants James and Schrader Randall and Names of Respondents Prudential Equity Group, LLC, Louis M. Perry, David L. Noble, Logan D. Fitch, and Kit E. Vick Case Number: 03-04635 Hearing Site: Denver, Colorado NATURE OF DISPUTE Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTIES James and Schrader Randall ("Claimant")

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities, Inc., (Claimant) vs. Steve A. Norton, (Respondent) Case Number: 01-01481 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, First Union Securities, Inc., hereinafter referred to as "Claimant**: Diane C. Fischer, Esq. and Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, IL. Previously represented by: Renan I. Sugarman, Esq., Seni

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lehman Brothers, Inc. (Claimant) v. Rodney T. Cox (Respondent) Case Number: 00-00734 Hearing Site: New York, New York Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES Claimant Lehman Brothers, Inc. hereinafter referred to as "Claimant": Manoj R. Andalkar, Esq., Alonso, Andalkar & Kahn, PC, New York, NY. Respondent Rodney T. Cox hereinafter referred to as "Resp

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant LiamP.Healy and 03-04630 Chicago, Illinois Name of Respondent J. P. Morgan Securities, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Liam P. Healy ("Claimant") was represented by Edward M. Hogan, Esq., Kelly McCloskey Cherf, Esq., and J. Michael Tecson, Esq., Hogan Marren, Ltd., Chicago, Illinois, Roseanne Loftus,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant First Union Securities, Inc. v. 03-04622 Denver, Colorado Respondent Theodore McMorrough Nature of Dispute: Member v. Associated Person REPRESENTATION OF PARTIES First Union Securities, Inc. ("Claimant") was represented by Renan I. Sugarman, Esq., Chicago, Illinois. Theodore McMorrough ("Respondent") was represented by Stuart N. Bennett, Esq., of Lindquis

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Linda Dionisio and Paula Gillan (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Helen S. Hoffman (Respondents) Case Number: 03-04619 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Linda Dionisio ("Dionisio") and Paula Gillan ("Gillan") hereinafter collectively

Award NASD Dispute Resolution In the Matter of the Arbitration Between: George E. Markovic, Claimant v. Jo Ann Corrao and Morgan Stanley DW Inc., Respondents Case Number: 03-04618 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: R. Craig Zafis, Esq. A.R. Hausauer, Jr., Esq. R. Craig Zafis, APC San Diego, California For Respondents: Jesse Simpson, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harvey T. Vechery IRA Rollover Custodian Account, Harvey T. Vechery and Linda M. Vechery trustees of the Vechery Family Trust dtd 10/09/1984, and Tracy Von Vechery as trustee of the Tracy Von Vechery Living Trust dtd 10/28/97, Claimants v. Lehman Brothers, Inc. and Jeff Maurice Turnbaugh, Respondents Case Number: 03-04616 Hearing Site: Los Angeles, California Nature of the Dispute

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04610 Robert K. Miller, as Personal Representative of the Estates of Rosalie Shaw and Wilson Shaw Name of the Respondent Hearing Site: Boca Raton, Florida Raymond James and Associates Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Robert K. Miller, as Personal Representative of the Estates of Rosalie Shaw and Wi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard J. Moody, individually and as personal trustee of the estate of Judith L. Moody and 03-04609 Oklahoma City, Oklahoma Name of Respondent Morgan Stanley DW, Inc. NATURE OF THE DISPUTE Customer vs. Member Firm REPRESENTATION OF PARTIES Richard J. Moody, individually and as personal trustee of the estate of Judith L. Moody ("Claimant") was