AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Morgan Keegan & Company, Inc. Claimant, vs. Chad James Johnson, Respondent. Situs: Dallas, Texas. Case Number: 04-06252 NATURE OF DISPUTE; Member v. Associated Person REPRESENTATION OF PARTIES: Morgan Keegan & Company, Inc., hereinafter referred to as "Claimant": Shea O'Brien Hicks, Esq. of Morgan Keegan & Company, Inc., Memphis, Tennessee. Respondent did not

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06238 CIBC World Markets Corp., Claimant v. Joseph Gomez, Respondent ATTORNEYS: For Claimant CIBC World Markets Corp. ("Claimant") appeared Michelle A. Murphy, Esq., in- house counsel, CIBC World Markets Corp., New York, NY. Respondent Joseph Gomez ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associated Person^ DATE FILED: August 31, 2004

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kent E. Wilson, and Michael D. Wilson, FBO UTD 1/2/01, Claimants v. Wedbush Morgan Securities Inc. and Frank W. Klescewski, Respondents Case Number: 04-06226 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Alexander G. van Broek, Esq. Law Offices of Alexander G. van Broek Oakland

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant/Counter-Respondent UBS Financial Services, Inc. and Case Number: 04-06222 Hearing Site: Troy, Michigan Respondents/Counter-Claimants Wilmoco Capital Management, LLC and Carl B. Smalls NATURE OF DISPUTE Member v. Customers and Customers v. Member REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimant") was represented by Sandra D. Grannum, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf fop Plaimant Pggp Murnhpr- 04-06221 Mary A. Bumham ^ Respondent H^flrifS Sit ft ' Dallas, Texas Raymond James Financial Services, Inc. NATTTttV OF THF TfcTSPTTTF. Public Customer v. Member Firm Claimant Mary A. Burnham, hereinafter referred to as "Claimant": Robert L. Wright, Esq., of Wright & Gunter LLP, located in Fort Worth, Texas. Respondent Raymond James

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06196 Stephen J. Vitale and Frances C.VitaleJTWROS Stephen J. Vitale, IRA Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Stephen J. Vitale and Fr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-06195 James Larry Gall and JoAnn Gall, Co-Trustees James Larry Gall Trust UAD 4/30/92 i Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jam

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Case Number; 04-06174 Larry W. Buchanan f/b/o Larry W. Buchanan Revocable Trust Names of the Respondents Citigroup Global Markets, Inc. CTc/a Salomon Smith Barney, Inc. Jack B. Grubman aring Sitft- Richmond, Virginia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Larry W. Buchanan f/b/o Larry

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06145 Bear, Stearns & Co., Inc., Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant Bear, Stearns & Co., Inc. ("Claimant") appeared Daniel S. Taub, Esq., in-house counsel, Bear, Steams & Co,. Inc., New York, NY. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Kenneth Spielfogel, Esq., in-house counsel, Merrill Lynch,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Arthur M. Mintz individually, Abby Mintz individually, Arthur M. Mintz and Abby Mintz as Trustees for Mintz Family Trust dated July 7, 1988, Claimants v. Centex Securities, Inc. and Ron D. Brouillette, Jr., Respondents Case Number: 01-00282 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Ronald Marron, Esq. Marron & Wilson, LLP San Dieg