Award NASD Dispute Resolution In the Matter o Elias Abouharb Hill, Jr., the Arbitration Between: md Nazira Abouharb, Claimants v. Morgan Stanley DW Inc. and James Clinton Respondents Case Number: ( 3-04523 Hearing Site: Los Angeles, California For Claimants: For Responden Statement of C Claimants' Join Joint Statement Respondent Me Respondent Jan ature of the Dispute: Customers v. Member and Associated Person REPR

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number- 03-04512 Robert and Patricia Metzger Name nf the RpsprmHpnts Hearing Site* Philadelphia, PA H&R Block Financial Advisors, Inc. Francis T. Campbell, Jr. Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION Off PARTIES Claimants, Robert and Patricia Metzger, hereinafter collectively referred to as "Clai

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04506 Jay P. Jaikishen, MD Names of the Respondents Hearing Site: New Orleans, Louisiana UBS PaineWebber, Inc. A.G. Edwards & Sons, Inc. Glenn Seymour Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jay P. Jaikishen, MD, hereinafter referred to as ''Claimant": Anupam Rajvanshi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter J. Andersen, Claimant v. Morgan Stanley Dean Witter (n.k,a. Morgan Stanley DW, Inc.), Bradley J. Saunders, and Dante M. Panella, Respondents Case Number: 01-01468 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: James Jay Seltzer, Esq. Law Offices of James Jay Seltzer

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marvin Galler, Roberta Galler, Marvin Galler, as trustee of the Amherst Cardiology & Internal Medicine Associates Money Purchase Pension Plan, and Marvin Galler, as trustee of the Amherst Cardiology & Internal Medicine Associates Profit Sharing Plan (Claimants) v. Lehman Brothers, Inc., Steven Mitchell, Neil Mitchell, Mark Stevenson, and Gil Sacher (Respondents) Case Number

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04502 American Express Financial Advisors, Inc., Claimant v. Marwan Mahmoud Salih, Respondent. ATTORNEYS: Claimant, American Express Financial Advisors, Inc., ("Claimant"), appeared through its Loss Prevention/Collection Specialist, Brad Westerberg, Minneapolis, MN. Respondent, Marwan Mahmoud Salih, ("Respondent"), did not submit an answer in this case. NATURE OF DISPUTE: Member v. Customer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Debra and James Knick, Gregory Peterson, James Knick and Shelby Knick, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Respondent Case Number: 03-04494 Hearing Site: Portland, Oregon Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Tracy Pride Stoneman, Esq. Tracy Pride Stoneman, P.C. Westciiffe, Colorado For Responden

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Margaret A. Meyer vs 03-04493 Chicago, Illinois Name of Respondents Linsco Private Ledger Corp., and Terry L. Gourley Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Margaret A. Meyer, ("Claimant"), was represented by Andrew J. Stoltmann, Esq., Maddox Hargett & Caruso, P.C. Chicago, Illinois. Respond

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04492 Salomon Grey Financial Corporation, Claimant v. James Reid, Respondent. ATTORNEYS: For Claimant, Salomon Grey Financial Corporation, ("Claimant"), appeared in-house counsel Belinda Goss, Dallas, TX. Respondent, James Reid, ("Respondent"), did not respond to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 20, 2003 CASE SUMMARY: Claimant al

Stipulated Award NASD Dispute Resolution ARBITRATION BEFORE THE NASD DISPUTE RESOLUTION, INC. ELGIN W. WARE and KAREN G. WARE, § § Claimants, § § vs. § NASD# 03-04490 § § § § § Claimants Elgin W. Ware and Karen G. Ware, hereinafter referred to as "Claimants," were represented by Jeanne Crandall, Esq. Reyna Hinds & Crandail, 1201 Elm Street, Suite 3850, Dallas, Texas 75270-2199. Respondents Merrill Lynch, Pierce, Fenne