Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; George A. Nolan and George A. Nolan TTEE Nolan Family Trust, Claimants v. A.G. Edwards & Sons, Inc., Marianne G. Depetris and Paul A. Kromhout, Respondents Case Number: 03-02809 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Timothy A. Canning, Esq. Novato, California

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02801 Robert L. Kollar, Claimant vs. Jack Lentz, Mark Albers, and Morgan Stanley Dean Witter, Inc. f/k/a Dean Witter Reynolds, Inc., Respondents. ATTORNEYS: For Claimant, Robert L. Kollar, ("Claimant") appeared John M. Lotz, Esq., Aliso Viejo, CA. For Respondents, Jack Lentz, Mark Albers, and Morgan Stanley Dean Witter, Inc., f/k/a Dean Witter Reynolds, Inc., (collectively "Respondents") app

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02789 Stephen C. Francis Name of the Respondent Hearing Site: Atlanta, Georgia Salomon Smith Barney, Inc. doing business as Robinson Humphrey Company, LLC Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Stephen C. Francis, hereinafter referred to as "Claimant": Richard E. Miley, Esq., North Augus

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-02788 Edward and Karen Pimentel JTWROS Edward Pimentel IRA Names of the Respondents Hearing Site: Orlando, Florida Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. Adam Campbell JackB. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Edward and

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hillary Hayden, Claimant v. UBS PaineWebber, Inc. n/k/a UBS Financial Services, Inc., William N. Keller, Robertson Stephens, Inc., London Pacific Securities, Inc., Lawrence G. Gray, Sr., and Joseph J. Piazza, Respondents Case Number: 03-02786 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Members and Associated Persons REPRESENTATION OF PARTIES

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Boberschmidt Family Trust UTD 5/17/85, John R. Boberschmidt, Mary Ellen Boberschmidt, Meany Trust UA dtd 6/28/88, Virginia L. Alexander Trust dtd 4/20/90, Edwin & Catherine Farrell Trust 7/15/85, Suzanne Jeffers, Alice Vivian Gregg, William J. Gregg, Hassan A. Ebrahimi, Karen Kiefer Family Trust UA dtd 2/26/97, Karen S. Kiefer DO Money PPS, Karen S. Kiefer, Karen S. Kiefer Cu

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Estate of Aimer L. Anderson Case Number: 03-02782 Claimant Stifel Nicolas & Co. and Hearing Site: Milwaukee, Wisconsin Robert S. Qmelina, Jr. Respondents TYPE OF CONTROVERSY Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant was represented by Stephen L. Morgan, Esq., located in Madison, Wisconsin. Respondents Stifel Nicolaus

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02780 Annabelle Haupt Names of the Respondents Hearing Site: Tampa, Florida Salomon Smith Barney Inc. Jeffrey McDonald Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Annabelle Haupt, hereinafter referred to as "Claimant": William Young, Esq., Hooper & Weis

Amended Award NASD Dispute Resolution, Inc. in the Matter ot me Arbitration between: Names of the Claimants Cyril and Willena Burke, Individually and as Joint Tenants With Right of Survivorship, Cyril Burke as owner of the Cyril Burke Roth Rollover IRA, Willena Burke as owner of the Willena Burke Roth Rollover IRA and Albert Raoul Barsion, as Attorney-in- Fact for Albert Barsion under Power of Attorney Dated 09/01/98 and as Successor

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02775 Nancy L. Gimson Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Scott A. Geric Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Nancy L. Gimson, hereinafter referred to as "Claimant": Michael J. Stanton, Esq., James, Hoyer,