AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' Name of Claimants Lawernce W. Katz and Lisa Katz and 03-02428 Milwaukee, Wisconsin Name of Respondents Mesirow Financial, Inc. and Alan Abramson Nature of the Dispute: Customers vs. Member firm and Associated Person. i REPRESENTATION OF PARTIES Lawrence W. Katz and Lisa Katz ("Claimants") were represented by Mark E. Sanders, Esq., of Hailing and Cayo, S.C., loca

02/24/2005 11:18 FAX NASD @002/005 Revised Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant: Morgan Stanley DW, Inc. vs. Case Number 03-02427 Hearing Site: Houston, Texas Name of Respondent: Michael L. Johnson NATURE OF DISPUTE Member Firm v. Associated Person OF PARTIES Morgan Stanley DW, Inc. ("Claihiant") was represented by Diane C. Fischer, Esq. and Thomas A. Volz, Esq., Kane

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between i Name of Claimant i Linda Gusnowski, as Trustee for the Helen O'Connell Inter Vivos Trust and Case Number: 03-02426 Hearing Site: Houston, Texas Names of Respondents Merrill Lynch, Pierce, Fenner and Smith, Inc., and Gregory John Roel NATURE OF CASE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Linda Gusnowski, as Trustee

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-02425 Ronald Tomlinson Christine Tomlinson Names of the Respondents Hearing Site: Atlanta. Georgia Daniel Dimick David Oberman Prudential Securities, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ronald Tomlinson and Christine Tomlinson, hereinafter collectively r

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Carol Sitnick Paddor, individually and as Trustee of The Carol L. Sitnick Trust and as beneificiary of the Carol Sitnick IRA Rollover Account And 03-02405 Chicago, Illinois Name of Respondents Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc. Carolyn Lee Van Helden Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATI

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02402 Paula Colman, TTEE, Claimant v. Quick & Reilly, Inc. and Roger W. Nolan, Respondents. ATTORNEYS: For Claimant, Paula Colman, TTEE, ("Claimant"), appeared Bradley Colman, Granville, OH. For Respondents, Quick & Reilly, Inc. and Roger W. Nolan, ("Respondents"), appeared Peter Byer, Esq., New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 2, 20

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tom Wieser and Jessica Wieser (Claimants) v. Morgan Stanley DW, Inc. and Charles Anderson (Respondents) Case Number: 03-02399 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Tom Wieser ("T. Wieser") and Jessica Wieser ("J. Wieser") hereinafter collectively referred to as "Claimants": Jay R. Mc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Georgia Stamoulis, Individually and as Executrix of the Estate of Chrysanthe Rose (Claimants) v. Jonathan Schwartz, Anthony Orlando, Bluestone Capital Corp., Lisa Mari Dellapietra, and Joseph Kerry and Wexford Clearing Services, Corp. Case Number: 03-02398 Hearing Site: New York, NY Nature of the Dispute: Customer v. Members and Associated Persons REPRESENTATION OF PARTIES Claim

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Aviva Teichner (Claimant) v. UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc., Mary Ellen Kay, and John Decker (Respondents) Case Number:Q3-02396 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Aviva Teichner ("Teichner") hereinafter referred to as "Claimant": Jay D. Fischer,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David C. Mason and Michael Mason (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Henry Blodget (Respondents) Case Number: 03-02393 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants David C. Mason ("D, Mason") and Michael Mason ("M. Mason") hereinafter collectively referred to as "