Award NASD Dispute Resolution In the Matter of the Arbitration Between: p l^nmher: 04-03384 Paul D. and Ernestine Lee Luna n f th p R^Fprridffnts Heaving SH ft - Dallas, Texas Legg Mason Wood Walker, Inc. and Reeve M. Vannostrand Customer v. Member Firm and Associated Person OF Claimants Paul D, and Ernestine Lee Luna, hereinafter collectively referred to as "Claimants": Paul D. Luna of Mexia, Texas. Respondents Legg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03380 Joann E. Desrosiers Estate of Wilfred N. Desrosiers Joann E. Desrosiers Revocable Trust Name of the Respondent Hearing Site: Tampa, Florida Robert W. Baird & Co. Incorporated Name of the Third Party Respondent David Desrosiers Nature of the Dispute: Customer vs. Member v. Customer. REPRESENTATION OF PARTIES For Joann E

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Melvin Gutknecht and Frances Gutknecht v. 04-03375 Minneapolis, Minnesota Respondents Berthel Fisher & Company Financial Services, Inc. and Lawrence Wilton Warren Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Melvin Gutknecht and Frances Gutknecht ("Claimants") were represented by Sidney J. Spaeth, Esq., of Vogel,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants i i Ada M. Strausberg Ada M. Strausberg as P/R of the Estate of Gary I Strausberg Names nf the Respondents William I Kissinger Kissinger Financial Services, Inc. Preston Management, Inc. Kissinger Advisory, Inc. Case Number- 04-03371 Hearing Site: Baltimore, Md Nature of the Dispute: Customers vs. Non-Members and Associated Perso

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Salvatore J. Pistilli and Jean A. Pistilli, JTWROS (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Carla Bond (Respondents) Case Number: 04-03359 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Salvatore J. Pistilli ("S. Pistilli) and Jean A. Pistilli ("J. Pistilli*'), JT

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03355 Michael Morra, Claimant v. Morgan Stanley DW, Inc. and Frank Castro, Respondents ATTORNEYS: For Claimant Michael Morra ("Claimant") appeared Renee Pearce of John Jay Legal Services, Inc., White Plains, NY. For Respondents Morgan Stanley DW, Inc. and Frank Castro (collectively "Respondents") appeared Harrison A. Kaugman, Esq., in-house counsel, Morgan Stanley DW, Inc., New York, NY.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Luther Kevin Hawkins (Claimant) v. RBC Dain Rauscher, Inc. and Keith Daniel Schollard (Respondents) Case Number: 04-03352 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associate Person REPRESENTATION OF PARTIES Claimant Luther Kevin Hawkins hereinafter referred to as "Claimant": Robert Bertsch, Esq., Bertsch & Associates, P.C., Por

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Islam g Robert C. Morris Case No. 01-00090 Acument Securities, Inc. (ffa/a Thomas F. White & Co., Inc.) Steven Kramer White Discount Securities U.S. Clearing, a div. of Fleet Securities, Inc. ing Site- Philadelphia, PA O Claimant Robert C. Morris ("Claimant") was represented by: Sebastian M. Rainone, Esq. of the law firm of Rainone & Associates, Philadelphia

CASE: 04-03345 Coralia Meruleo, Claimant v. Morgan Stanley DW, Inc. and William S. Lardin, Respondents ATTORNEYS: ~ ~ ~ ~ " For Claimant, Coralia Meruleo, ("Claimant"), appeared David M. Kassell, Esq. of The Roth Law Firm, PLLC, New York, NY. Respondents, Morgan Stanley DW, Inc. and William S. Lardin, (collectively "Respondents"), appeared through in-house counsel, Harrison A. Kaufmann, New York, NY. NATURE OF DISPUTE: Customer v. Member

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Thomas D. East and Names of Respondents Morgan Keegan & Company, Inc., and John Sheldon Cotton Case Number: 04-03344 Hearing Site: Louisville, Kentucky NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Thomas D. East ("East" or "Claimant") was represented by James A. Shuffett, Esq., Lexington, Kentucky.