STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants George Wallace Tilley, Jr. Holly A, Tilley, and J&J Family Partnership, Ltd. vs. Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Incorporated and Donna McKenzie Grimm, Case Number 03-03393 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person BEEHESENTATION OF PARTIES Georg

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: William C. Marrinan, Claimant v. Morgan Stanley DW Inc., Tom Dixon, Susan Dixon, John R. McLaughlin, and Leonard Kreutner, Respondents Case Number: 03-03392 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons For Claimant: For Respondents: REPRESENTATION OF PARTIES Jeff Dennis Ferentz, Esq. JeffDennis Fere

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03389 NBC Capital Markets Group, Inc. Names of the Respondents Hearing Site: Memphis, TN John V. Ballard Stanford Group Company Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATION OF PARTIES For NBC Capital Markets Group, Inc. ("NBC"), hereinafter referred to as "Claimant": Robert Wayne McPherson,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard D. Lenard IRA, (Claimant) vs. L.H. Ross & Company, Inc., Craig Brandwein, and Frank Michelin, (Respondents) Case Number: 01-01304 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Richard D. Lenard IRA, hereinafter referred to as "Claimant": Delmer C. Gowing, III, Esq., Delmer C. Gowing, III, P.A., Delray Beach, FL. Respondents, L.H. Ross & C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Sylvia Zoslow Name of the Respondent Morgan Stanley DW, Inc. Case Number: 03-03382 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Sylvia Zoslow, hereinafter referred to as "Claimant": Jeffrey Erez, Esq., Sonn & Erez, Ft. Lauderdale, Florida. For Morgan Stanley DW, Inc. ("MSDW"), her

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Seymour Bossert and Seymour Bossert IRA (Claimants) v. Morgan Stanley DW, Inc., David Maldonado, and Jose Rivera (Respondents) Case Number: 03-03376 Hearing Site: New York, New York Nature of the Dispute: Customers v. .Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Seymour Bossert ("Bossert") and Seymour Bossert IRA ("Bossert IRA") hereinafter colle

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gregory T. Lano (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Kevin F. Early (Respondents) Case Number: 03-03375 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Gregory T. Lano ("Lano") hereinafter referred to as "Claimant": Edward C. Cooley, Esq., Giarrusso, Norton, Cooley &

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Martha Adams, as Individual and Trustee of the Lawrence Adams Trust u/a/d 7/27/98 and Martha A. Adams Trust u/a/d 11/10/99 (Claimants) v. Citigroup Global Markets, Inc. and Sharon M. Cunningham (Respondents) Case Number: 03-03372 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Martha A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth Malcom Dale, Claimant v. Wachovia Securities, LLC, Respondent Case Number: 03-03369 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Claimant: Kenneth Malcom Dale San Rafael, California For Respondent: Timothy N. Will Albert & Will, LLP Torrance, California CASE INFORMATION Statement of Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thp. Claimants Mario Sifuentes IRA, Norma J. Sifuentes, Custodian Victoria C. Sifuentes Custodial Account, Alex Sifuentes Custodial Account, Name of thp. T^espnndents Linsco/Private Ledger Corp. and David A. Oakley . Number- 03-03366 Hearing Site: Albuquerque, New Mexico MATTTOF 017 T>TSPTTTT? Customers vs. Member Firm and Associated Person OT7 PA