Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-02845 Charlotte J. McDaniel Kirk McDaniel Kelsey Name of the Respondent Hearing Site: Atlanta, Georgia Prudential Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Charlotte J. McDaniel ("McDaniel") and Kirk McDaniel Kelsey ("Kelsey"), hereinafter collectively referred to as "Claimants": Robe

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Bill Zuehlke v. 03-02839 Denver, Colorado Respondents Market Wise Securities, LLC, Terra Nova Trading, LLC MWSI Holdings, Inc., David S. Nassar, Thomas McCafferty, Kevin Ward, and TAL Financial Services, LLC NATURE OF DISPUTE Customer v. Members, Associated Persons and Non-Members REPRESENTATION OF PARTIES Bill Zuehlke ("Claimant") was

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant A.G. Edwards & Sons, Inc. Name nf the Respondents Bruce A. Barnhart, Jr. Case Number; 03-02838 Hearing Site: St. Louis, Missouri NATTTRIT OF THSPTTTR Member Firm vs. Associated Person OF PARTTFS Clay L. Grumke, Esq. of A.G. Edwards & Sons, Inc. ("A.G. Edwards") located in St. Louis, Missouri, hereinafter referred to as "Claimant." John E.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sarah Friedman (Claimant) v. Gruntal & Co., L.L.C., Michael Friedman, Robert Rittereiser, Lee Fensterstock s Henry Gottmann, Joanne Marren, Stephen Byers, Saul Federman, and Abe Borenstein (Respondents) Case Number: 03-02832 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Sarah Friedman

Stipulated Award NASD Dispute Resolution . Names of Claimants: Gene Palmieri and Judy Palmieri, Individually and on behalf of their IRA/IRRA and Names of Respondents: Case Number: 03-02825 Merrill Lynch, Pierce, Fenner & Smith Inc., and Hearing Site: Houston, Texas Kevin Kugley NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants, Gene Palmieri and Judy Palmieri, ("Claimants") were repre

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marilyn J. Gottier and James F. Cottier, Marilyn J. Gottier IRA, and James F. Gottier IRA (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Michael Miros (Respondents) Case Number: 03-02824 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Marilyn J. Gottier and James F. Gottier

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Stephen and Judith Jackson and Name of Respondents UBS Financial Services Inc. FBD Investment Services. Inc. NFP, Securities, Inc. Michael Richard Juffa Michael Fred Zanders Michael S. Underwood 03-02821 Kansas City, Missouri Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Step

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Rashelle Cirigliano IRA, Claimant v. American Express Financial Advisors, Inc., Respondent Case Number: 01-01224 Hearing Site: San Francisco, California For Claimant: For Respondent: REPRESENTATION OF PARTIES Michael A. Peritore, Esq. Law Offices of Michael A. Peritore Old Sacramento, California Samuel Y. Edgerton, ffl, Esq. James K. Autrey, Esq. Nash &

May-19- 2005 4:Q4PM NASD Ho-9936 P- 2 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant _ __~, Case Number; 03-02817 Arthur Campbell Name of the Respondent _ Hearing Site: Tampa, Florida Prudential Securities, Inc. : n/k/a Prudential Equity Group, LLC Nature of the Dispute: Associated Person vs. Member. REPREvSENTATIN OF For Arthur Campbell, hereinafter referred to as "Claimant": Elihu H. Herman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimant P.asfi>Jiimfa»r 03-02814 The Edward Mellon Trust, ' • By and Through Its Trustee, M. Richard Mellon , . g nf the Respondents Hearing Site- Pittsburgh, Pennsylvania UBS Paine Webber, Inc. • ' Gary Lyon Otto Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRF,SF,NTATTON OF PARTTFS Claimants, The Edward Mellon Trust, By and Through I