Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Edgar De Sola Names of the Respondents Legg Mason Wood Walker, Inc. James Cosmides Case Number: 03-03359 Hearing Site: Orlando, Florida Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Edgar De Sola, hereinafter referred to as "Claimant": Brandon S. Peters, Esq., Morgan, Colling & Gilbert,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Karen Klausmeyer; Karen Klausmeyer Custodian for Jason Klausmeyer; and, Karen Klausmeyer Custodian for Bryan Klausmeyer Names of the Respondents Morgan Stanley Dean Witter, Inc., Barbara Zech, Lou Athanas, Karen Steinsieck and Pat Key Case Number: 03-03357 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and As

Stipulated Award N*ASD' Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant James Chris Mills, an individual Names of the Respondents First Heritage Corporation, a Florida corporation First Heritage Global, Ltd., a New York corporation Jacob Feldman, an individual Case Number: 03-03356 Hearing Site: Boca Raton, Florida Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENT ATTON

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Phyllis Meilton Names of the Respondents WM Financial Services, Inc. Todd S. Rozzo Case Number: 03-03348 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Phyllis Meilton, hereinafter referred to as "Claimant": James E. Miller, Esq. and Scott R. Shepard

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-01301 GKN Securities Inc., claimant vs. Neil Evertsen, respondent. ATTORNEYS; For Claimant appeared Michael Colombo, Vice-President, New York, NY. Respondent appeared Pro Se, New York, NY. DATE FILED: March 16, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the debit balance on and unsecured promissory note upon termination of his employment with the claimant.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lawrence Chvilicek, Claimant v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., Jack B. Gmbman, and John W. Hampton, Respondents Case Number: 03-03343 Hearing She: Portland, Oregon Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Scott A. Shorr, Esq. Stoll Stoll Berne Lokting & Shlachter, P.C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hazel Bryan (Claimant) v. Fahnestock & Co., Inc., James J. Mariani, Michael Fasciglione, Henry Arthur Fichtner, Josephthal & Co., Inc., and Oppenheimer & Co., Inc. (Respondents) Case Number: 03-03335 Hearing Site: New York, New York Nature of the Dispute: Customer v. Members and Associated Persons. REPRESENTATION OF PARTIES Claimant Hazel Bryan ("Bryan") hereinafter referred to

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: William T, Minor IRA (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Joseph M. Holcomb (Respondents) Case Number: 03-03331 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES V Claimant William T. Minor IRA ("Minor") hereinafter referred to as "Claimant": Franklin R. Evans, Esq., R

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fred Fogwell (Claimant) v. Clifford J. Robson and McDonald Investments, Inc. (Respondents) Case Number: 03-03330 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Fred Fogwell ("Fogwell") hereinafter referred to as "Claimant": Franklin R. Evans, Esq., Richman Law Offices, Cincinnati, OH.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03324 William Maselli and Jeanne Maselli, individually, and as trustees of the Maselli Trust dated February 19, 2001 Names of the Respondents Hearing Site: Tampa, Florida Salomon Smith Barney, Inc. Jack Grubman Jeffrey Woei Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For