Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Judy Dees Names of the Respondents Salomon Smith Barney, Inc. , Richard Sanfilippo Case Number: 03-04169 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Judy Dees, hereinafter referred to as "Claimant": Robert Dyer, Esq., Allen, Dyer, Doppelt, Milbreth & Gilchrist,

Award NASD Dispute Resolution In tne Matter or tne Arbitration Between: Names of the Claimants Case Number: 03-04168 Myers Family Trust U/A/D 9/17/93 The Nest, Inc. Money Purchase Pension Plan Nancy Stafford IRA Nancy Stafford-Myers Larry Myers Name of the Respondent Hearing Site: Boca Raton, Florida Janney Montgomery Scott LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Myers Family Trust U/A/D 9/17/93

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf flip Plaimant PflQg KTnmhfir- 03-04162 UBS Financial Services Inc. . nf tfo. T?ftgpAnHfipf flfrgprig Site- Dallas, Texas Cortill D. Roberts NATTTRK HF TWF TUSPTTTF. Member Firm v. Associated Person Claimant UBS Financial Services Inc., hereinafter referred to as "Claimant": Laura Martin, Esq. of the firm of Davidson & Grarmum, LLP, located in Northvale, New Jersey. Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant A.G. Edwards & Sons, Inc. Name of the Respondent Ronald Cleveland Case Number: 03-04159 Hearing Site: Atlanta, Georgia Nature of the Dispute; Member vs. Associated Person. REPRESENTATION OF PARTIES For A.G Edwards & Sons, Inc., hereinafter referred to as "Claimant": Nuviah Shirazi, Litigation Counsel, A.G. Edwards & Sons, Inc. Ronald Clevelan

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case Number: 03-04156 William Reenstra Karen Klimas Names of the Respondents Hearing Site: Philadelphia., PA A.G. Edwards & Sons, Inc. Allan Rosenthal Nature of the Dispute: Customer vs. Member and Associated Person RFPRF.SKNTATTON OF PAftTTES Claimants, William Reenstra and Karen Klimas, hereinafter collectively referred to as "Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Domestic Securities, Inc. (Claimant) v. Morgan Stanley & Co., Inc., Allen & Company, LLC, BrokerageAmerica, Inc., Bear Stearns & Co., Inc., Trading Investec, Inc., Janney Montgomery Scott, LLC, BNP Paribas Brokerage Services, Inc., Kensington Capital Corp., Oppenheimer & Co., Inc., Maxim Group LLC, Electronic Trading Group, LLC, Millennium Brokerage, LLC, J.P. Matrix Partners, LLC, Neid

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04149 Stacy Jean Susman and Stacy Jean Susman, IRA, Claimants v. Raymond James Financial Services, Inc. and Lawrence A. Appleman, Respondents. ATTORNEYS: For Claimants, Stacy Jean Susman and Stacy Jean Susman, IRA, ("Claimants"), appeared Robert Talbot, Esq., of the University of San Francisco School of Law Investor Justice Program, San Francisco, CA. For Respondents, Raymond James Finan

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04148 Jack and Shirley Taylor, Claimants v. American National Municipal Corporation, Respondent. ATTORNEYS: Claimants, Jack and Shirley Taylor, ("Claimants"), appeared pro se, Newport Beach, CA. For Respondent, American National Municipal Corporation, ("Respondent"), appeared Steve Buchwalter, Esq., Encino, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: June 6, 2003 CASE SUMM

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mahinderjit Singh, M.D. and Jasjit Kaur Singh, Jasjit K. Singh IRA, Mahinderjit Singh, IRA, Jasjit K. Singh c/f Gurjup K. Singh, and Jasjit K. Singh c/f Harjup Singh (Claimants) v. H & R Block Financial Advisors, Montrose Capital Management, Ltd., Vivek K. Verma, Robert J. Winston, and Michael J. Rajewski (Respondents) Case Number: Of-01442 Hearing Site: New York, New York Nature of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ugo Bruni IRA (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Caroline N. Gundeck (Respondents) Case Number: 03-04142 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Ugo Bruni IRA ("Bruni") hereinafter referred to as "Claimant": Loel H. Seitel, Esq., Englewood Cliffs, NJ. Previousl