Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard O. Vandenberg, Jr., Claimant vs. Goldman Sachs & Co., Inc., Respondent Case Number: 04-01552 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES For Claimant: Rodney J. Heggy, Esq. William B Federman, Esq. Fedennan & Sherwood Oklahoma City, Oklahoma For Respondent: Robin D. Fessel, Esq. Nicole

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of tha Claimants Case Number: 04-01549 James R. and Mary C. Hentrich Name of the Respondents ' Hearing Site: St. Louis, Missouri A.G. Edwards & Sons, Inc. and Anne Jacobi MAT1IPF OF r)|pPIITF Customers vs. Member Firm and Associated Person F n M   n F Mark C. Goidenberg, Esq. of the law firm Goldenberg, Miller, Heller & Antognoli, P.C., located

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Morgan Keegan & Company, Inc. and Case Number: 04-01547 Hearing Site: Houston, Texas Name of Respondent NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Morgan Keegan & Company, Inc. ("Claimant") was represented by Shea O'Brien Hicks, Esq., Morgan Keegan & Company, Inc., Memphis, Tennessee. Rex Dale Green ("Responde

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Teresa A. Beckmeyer, Claimant v. Waddell & Reed, Inc., Respondent Case Number: 04-01545 Hearing Site: Portland, Oregon Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Michael R. Seidl, Esq. Seidl Law Office Portland, Oregon For Respondent: Keith A. Ketterling, Esq. Stoll Stoll Berne Lokting & Shlachter Portland, Oregon

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas W. Crawford, Claimant v. UBS Financial Services Inc. and Kenneth D. Horwitz, Respondents Case Number: 04-01544 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Chris R. Youtz, Esq. Sirianni Youtz Meier & Spoonemore Seattle, Washington For Respondents: David L. Young

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Plaimant , , Pngp Miimhpr- 00-05705 Neville A. Aubry ring Site: Richmond, VA Salomon Smith Barney Inc. Louis W. Joe Phillip! Richards PFPPF^FXTATTOM OF Claimant, Neville A. Aubry, hereinafter referred to as "Claimant": Delmer C. Cowing, IE, Esq., Delmer C. Cowing m, P.A., Delray Beach, PL. Respondents, Salomon Smith Barney Inc. ("SSB"), Louis W. Joe ("Joe") and Phill

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitrations consolidated as Consolidated Case Number: 04-01543 Merrill Lynch, Pierce, Fenner & Smith Incorporated v. Christine L. Wilensky Case No.: 04-01543 Christine L. Wilensky v, Merrill Lynch, Pierce, Fenner & Smith Incorporated Case No.: 04-03562 Consolidated Case Number: 04-01543 Hearing Site: Portland, Oregon Nature of the Dispute: Member v. Associated Person Associated Person v. Member

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Lee Ryan Thoss Names of the Respondents Edward D. Jones & Co., L.P. d/b/a Edward Jones Edward Jones Investment, Inc. Bruce W. Espy James L. Faubert Case Number: 04-01539 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES Lee Ryan Thoss, hereinafter referre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of thp: riaimants Case Number 04-01533 Martin and Carole Noone Name of the Respondent Hearing Site: Philadelphia, PA Citigroup Global Markets, Inc. Nature of the Dispute: Customers v. Member. REPRESENTATION OF PARTIES Claimants, Martin and Carole Noone, hereinafter collectively referred to as "Claimants", were represented by Joel Feldman, Esq., Anapol, Schwartz, Weiss,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: Case Number: 04-01532 Manubhai and Sushila M. Patel Chandra and Jay Patel FIJI Enterprises and Manubhai C. Patel Charlotte Stamp, LLC and Manubhai C. Patel Name of Respondent: Mohammed Azeem Sheikh Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customers v. Associated Person REPRESENTATION OF PARTIES Claimants Manubha