Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case-. Number 04-02078 Thomas H. Dinwiddie Martha A. Dinwiddie Names nf the Respondents Hearing She: Washington, D.C. Linsco/ Private Ledger Corp. John F. Reutemann, Jr. Nature of the Dispute: Customers vs. Member and Associated Person. RFPRFSFNTATTON OF PAKTTFS Claimants, Thomas H. Dinwiddie and Martha A. Dinwiddie, hereinafter collectively referr

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Curtis and Connie Greene and Case Number: 04-02067 Hearing Site: Oklahoma City, Oklahoma Names of Respondents FFP Securities, Inc., FFP Advisory Services, Inc., First Financial Planners, Inc., Nithman Financial Group, Inc., and Kathy Nithman NATURE OF DISPUTE Customers v. Member Firm, Non-Member Firms and Associated Person REP

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Billy K. Lenser and Deborah Lenser, individually, and Billy K. Lenser as Trustee of the Kurt W. Lenser & Mildred E. Lenser Trust, Dena A. Lenser and Natalie A. Lenser, Claimants v. Mark F. Augusta, Respondent Case Number: 00-05765 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Howard M. Hoffman, Esq. Sacramento, California For Responde

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Robert Cohen Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. David Diaz Kris Rosado Case Number: 04-02063 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert Cohen, hereinafter referred to as "Claimant": Wayne H. Schwartz, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard E. Waks (Claimant) vs. JP Morgan Securities, Inc., f/k/a JP Morgan Chase & Co., f/k/a Chase H & Q, A Division of Chase Securities, Inc. (Respondent) Case Number: 04-02062 Hearing Site: New York City, New York Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Richard E. Waks hereinafter referred to as "Claimant": Mitchell B. Ludwig, Esq., Knapp,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul Jinsup Choi and Susie Chungja Choi, Claimants v. Morgan Stanley DW Inc. and Gene Sangjin Pak, Respondents Case Number: 04-02061 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Dennis R. Villavicencio, Esq. Akins & Villavicencio, LLP Carlsbad, California For Respondents: R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-02059 Stuart A. Weston and Sandra A. Weston, individually and on behalf of The Stuart A. Weston Revocable Living Trust and The Sandra Ash Weston Revocable Living Trust Florida Risk Management, Inc. Names of the Respondents Hearing Site: Tampa, Florida Raymond James Financial Services, Inc. Investment Management & Research, Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael L. Peterson, Claimant v. Goldman, Sachs & Co., Respondent Case Number: 04-02057 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES For Claimant: Rodney J. Heggy, Esq. Federman & Sherwood Oklahoma City, Oklahoma For Respondent: Nicole Barrett Sullivan & Cromwell LLP New York , New York CASE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riaimant , Page. Nimiher- 04-02051 Anthony C. Adonizio, Jr. Name nf the Respondent Hearing Site: Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Anthony C. Adonizio, Jr., hereinafter referred to as "Claimant", was represented by Catherine Humphrey Bennett, Esq., Anapol, S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shelly Wain (Claimant) v. Citigroup Global Markets, Inc, as successor to Salomon Smith Barney, William T. Lent and Michael Lent v. Merrill Lynch Pierce Fenner & Smith, Inc., Peter Bacanovic and Jake Bartlett Case Number: 04-02050 Hearing Site: New York City, New York Nature of the Dispute: Customer v. Member and Associated Persons vs. Member and Associated Persons. REPRESENTATIO