Award NASD Dispute Resolution In the Matter of the Arbitration Between: H. Deworth Williams and Edward F. Cowle, Claimants v. RBC Dain Rauscher, Inc., Respondent Case Number: 03-03720 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Richard J. Leedy, Esq. Stephen L. Taylor, Esq. Attorneys at Law Salt Lake City, Utah For Respondent: Sharon J. Shumway, Esq. C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Murray Weston and Caryl Weston as Trustees of the Murray and Caryl Weston Trust, Claimants v. Morgan Stanley DW Inc., James T. Green, and Northbrook Life Insurance Inc., Respondents Morgan Stanley DW Inc. and James T. Green, Cross-Claimants v. Northbrook Life Insurance Inc., Cross-Respondent Case Number: 03-03719 Hearing Site: Los Angeles, California Nature of the Dispute

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Arlene M. Boyer, Trustee of Arlene M. Boyer Family Trust and Arlene M. Boyer, Claimant v. Morgan Stanley Dean Witter, Bruce Morley, and Robert H. Denton, Respondents Case Number: 03-03718 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Matthew R. Miller, Esq. Dreher Law Firm

-•» « 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 ; : i NASD DISPUTE RESOLUTION, INC. MAR 1 3 ?Q03 | = L ... . ...J In the Matter of Arbitration Between: ) NASD-DRNo. 01-01351 BARBARA S. CRANE, Individually and On ) Behalf of the Bruce and Barbara S. Crane ) STPULATION AND AWARD IN FAVOR Trust, dated

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David and Christine March and Sandra M. White, Claimants v, Wedbush Morgan Securities, Inc. and Wendy Rea, Respondents v. Patricia Georgia French and Scott Key, Third Party Respondents Case Number: 00-0721 Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For Claimants David and Christine March: Richard S. Rosen, Esq. ("March") and Sandra M. White ("White")

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norman Levin, M.D., trustee for the Norman Levin, M.D., Inc. Pension Plan, Norman Levin, M.D. for the Norman Levin, M.D. IRA, Gay R- Levin for the Gay R. Levin IRA, and Jeanette Margolin, Claimants v. Merrill Lynch, Pierce, Feimer & Smith Inc., Respondent Case Number: 03-03717 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants R. Glenn Stefano and Nancy Stefano And 03-03712 Chicago, Illinois McDonald Investments, Inc. James E. Maxwell, Jr., and Larry R. Bishop Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES R. Glenn Stefano and Nancy Stefano ("Claimants") were represented by April Lindawer, Esq., and James, J. Ecc

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joni L. Guy v. 03-03711 Oklahoma City, Oklahoma Names of Respondents Farmers Financial Solutions, LLC, James M. Kolich and Brian R. Meyer Nature of the Dispute: Customer vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES Joni L. Guy ("Claimant") was represented by Rodney J. Heggy, Esq., Federman & Sherwood, Oklahoma City, Oklahoma.

Award NASD Dispute Resolution In-the Matter of the Arbitration Between: UBS Financial Services, Inc. file/a UBS PaineWebber, Inc., Claimant, v. Case Number: 03-03709 Hearing Site: Chicago, Illinois U. Scott Smith, Respondent. Nature of the Dispute: Member Firm vs. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc., f/k/a UBS PaineWebber, Inc. ("UBS"), hereinafter referred to as "Claimant": Laura Martin, 'Esq

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: UBS PaineWebber Inc. vs. David Fry Case Number: 03-03708 SITUS: Nashville, Tennessee NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES: UBS PaineWebber Inc. k/n/a UBS Financial Services Inc., hereinafter referred to as "Claimant* Laura Martin, Esq., Davidson, Manchel & Brennan LLP, Northvale, New Jersey. Respondent did not enter an appearance in this m