Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald M. Lipson, Trustee Ronald M. Lipson Profit Sharing Plan; Ronald M Lipson and Rochelle Lipson (Claimants) vs. Owen Bruce Rosenblum and First Union Securities, Inc. n/k/a/ Wachovia Securities, Inc. (Respondents) Case Number: 03-03804 Hearing Site: Cleveland, Ohio. Nature of the Dispute: Customers vs. Associated Person and Member. REPRESENTATION OF PARTIES Claiman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number 01-01364 Wachovia Securities, Inc. Name nf the Respondent Hearing Site* Richmond, Virginia Thomas E. Kenney and James H. Godfrey RF.PRF.SFNTATTON OF PARTIFS Claimant Wachovia Securities, Inc., hereinafter referred to as "Claimant", was represented by William C. Mayberry, Esq., Helms Mullis & Wicker, Charlotte, North Carolina. Respondent T

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03803 Philip C. Kobetz, Appearing in his capacity As Trustee for the Elizabeth Camille Shepherd Trust and The John Edward Shepherd Trust and Dr. Clifton W. Shepherd Individually, and as owner of the Clifton W. Shepherd IRA Plan Names of the Respondents Hearing Site: New Orleans, Louisiana Raymond James Financial Services,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03801 Lawrence Staloff Names of the Respondents Hearing Site: Boca Raton, Florida Advest, Inc. Malcolm Berko Roy Akers Nature of the Dispute: Customer vs. Member and Associated Person. For Lawrence Staloff, hereinafter referred to as "Claimant": Randall W. Henley, Esq., Randall W. Henley, P.A., West Palm Beach, Florida.

NASD Dispute Resolution InJheMatter of^the Arbitration Between: _ Name of the Claimant Case Number: 03-03797 Carol Cohen Names of the Respondents Hearing Site: Atlanta, Georgia A.G. Edwards & Sons, Inc. Michael Sean Cain Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Carol Cohen, hereinafter referred to as "Claimant": Robert H. Putnam, Jr., Esq., Atlanta, Georgia. For Respondent A.G. Edwards &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf tfy* Plain^t Pagp Numhpr- 03-03796 Alice Foster Hf firing SitF' Dallas, Texas Bane One Securities Corp.; Ellarea Vera Poeck; and, Bane of America Investment Services, Inc. Name of Third-P^ity Ricky Joe Henager Public Customer v. Member Firms and Associated Person v. Public Customer Claimant Alice Foster, hereinafter referred to as "Foster": Richard A. Lewins,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ! Name of Claimant Roger L. Weiss and 03-03793 Nashville, Tennessee Name of Respondent Waddell & Reed, Inc. i Nature of the Dispute: Customer vs. Member Roger L. Weiss ("Claimant") was represented by Richard A. Lewins, Esq., Burg, Simpson, Eldredge, Hersh & Jardine, P.C., Dallas, Texas. Waddell & Reed, Inc. ("Respondent") was represented by Jeffrey S. Jamieson

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: i > Names of the Claimants Reginald Blackshear Michelle Blackshear Names n Merrill Lynch Pierce Fenner & Smith, Inc. Merrill Lynch Credit Corporation Curtis R. Murry rase Number 03-03792 Hearing Site- Charlotte, North Carolina Nature of the Dispute: Customers vs. Member, Non-Member, and Associated Person RFPRFSFNTATTON OF PARTTFS Claimants Regi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Adelstein, Leslie Adelstein, and The Richard and Leslie Adelstein Family LLC, Claimants v. RBC Dain Rauscher and Thomas R. Wanne, Respondents Case Number: 03-03790 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Chris R. Youtz, Esq. Sirianni, Youtz, Meier & Spoonemo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants John D. Rivers and Elizabeth Rivers v. 03-03783 Denver, Colorado Respondents UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc. and Robert A. Levy Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES John D. Rivers and Elizabeth Rivers ("Claimants") appeared pro se. UBS Financial Services, Inc. f/k/a UBS PaineWebbe