Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-02379 Ronald G. Pare Charlene Pare Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley Dean Witter, Inc. David Casterioto Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ronald G. Pare and Charlene Pare, hereinafter collectively referred to as "Claimants": A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Saul E. Freed, TTEE U/A DTD 09/19/86 by Saul E. Freed Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 04-02376 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION QF PARTIES For Saul E. Freed, TTEE U/A DTD 09/19/86 by Saul E. Freed, hereinafter referred to as "Claimant": Richard

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeffrey D. Harris, individually and as trustee for The Steven K. Harris Trust, Claimants v. Morgan Stanley Dean Witter & Co. n/k/a Morgan Stanley DW Inc. and Daniel E. Pugel, Respondents Case Number: 04-02375 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Daniel W. Dunbar, Esq. L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Douglas Holloway, Claimant v. RBC Dain Rauscher, Inc. and Terry B. Fuerst, Respondents Case Number: 04-02372 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondent RBC Dain Rauscher, Inc.: For Respondent Terry B. Fuerst in persona propna San Francisco, California

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Deutsche Bank Securities Inc. and Case Number: 04-02371 Hearing Site: Chicago, Illinois Name of Respondent Christoper P. Salomone NATURE OF DISPUTE Member v. Associated Person REPRESENTATION OF PARTIES Deutsche Bank Securities Inc., ("Claimant") was represented by Peter 1 Atieri, Esq., and David Clark, Esq., of Epstein Becker & Green, P.C.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jonnie F. Jones and Names of Respondents Edward D. Jones & Company, and Terrence Patrick Williams Case Number: 04-02361 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Jonnie F. Jones ("Claimant") was represented by Robert L. Rolnick, Esq., DeGrasse & Rolnick, Houston,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank Artiglere, Christine Artiglere., Peter Caporaso, June Caporaso., Gennaro Frasso, Antoinette Frasso, Guissepe Perrotta, Maria Perrotta, Mary Spagnuolo, Gerardo Frasso, Angelina Frasso, Antonio Frasso, Patrick Reynolds and Maria Reynolds, Doris Kloss, Robert Chandler, Barbara Chandler, Paul Gomes, Mary Gomes, Audrey Esposito, Louann Esposito, and Vreni Odell (Claimants) v. Louis Rom

Stipulated Award NASD Dispute Resolution, Inc. _________________ ___ _,_ _.,_________¥ In the Matter of the Arbitration Between SUSAN M.SACHS, Claimant, NASD Case No. 00-00571 -and- MORGAN STANLEY DEAN WITTER and RICHARD SPENCE, Respondents. REPRESENTATION OF PARTIES Claimant Susan M. Sachs, hereinafter referred to as "Claimant": Susan M. Sachs, Oklahoma City, Oklahoma Respondents Morgan Stanley DW Inc., f/k/a Morgan Stanley Dean Wit

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc., Claimant v. Randall Jay Clark, Respondent Randall Jay Clark, Counter-Claimant v. Citigroup Global Markets, Inc., Counter-Respondent Case Number: 04-02349 Hearing Site: San Diego, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent Citigroup Global M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services Inc., Claimant v. Richard C. Adair, Jr., Respondent Case Number: 04-02347 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Deborah H. Gottlieb, Esq. Davidson & Grannum, LLP Northvale, New Jersey For Respondent: Richard C. Adair, Jr. Pro Se Las Vegas, Nevada CASE INFOR