AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Edwin L. Clemmer and Mary A. Clemmer vs. 04-00543 Louisville, Kentucky Respondents J.J.B. Milliard, W.L. Lyons, Inc. Harry Vance Lucke Nature of the Dispute: Customers vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Edwin L. Clemmer and Mary A. Clemmer ("Claimants") were represented by Benjamin D. Allen, Esq., Yunker & Associates, Lexingt

Award NASD Dispute Resolution In the Matter of the Arbitration Between:, Michael Alan Stein, Claimant v. Lisa Contillo, Respondent Case Number: 04-00538 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Associated Person REPRESENTATION OF PARTIES For Claimant: ' . , Timothy D. Murphy, Esq. The Law Offices of James J. Seltzer Emeryville, California For Respondent: Cameron Stout, Esq. Keesal, Young & Logan San Fra

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Robert Barton RatHff and Virginia Dianne Ratliff v. Respondent Bradford A. Gann 04-00537 Denver, Colorado Nature of Dispute: Customers v. Associated Person ;. i • 1 - ; » REPRESENTATION OF PARTIES Robert Barton Ratliff and Virginia Dianne Ratliff ("Claimants") appeared pro se. Bradford A. Gann ("Respondent") was represented by Michael S. Freeman,

NASD DISPUTE RESOLUTION AWARD NASD D1SFUIE BESOLCHON CASE: 04-00535 Timothy M. Hyla&d, Claimant vs, Manfcew Meister^ ATTORNEYS: Claimant, Timothy Hyland, ("ClamaaT) appeared pro se> Zeaiing, IA. Respondent, Matthew Meisiex, CReajwadefttT)* ^ppeaeedpro », Sarasott, EL NATURE OF DISPUTED DATE FILED; Jant)ary 26, 2004. CASE SUMMARY: Claimant alleged that Resporricat charged excessive cxjimmsskais with respect to the trade of 1,100 CEDC stocks.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stacey L. Widlitz (Claimant) v. SG Cowen Securities Corporation (Respondent) Case Number: 04-00534 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Stacey L. Widiitz hereinafter referred to as "Claimant": John D. Singer, Esq., Singer Deutsch, LLP, New York, NY. Respondent SG Cowen Securities Corporation here

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00532 Prudential Equity Group, L.L.C., Claimant v. Jim Amato, Respondent. ATTORNEYS: For Claimant, Prudential Equity Group, L.L.C., ("Claimant"), appeared Steven P. Gomberg, Esq., of the firm Levenfeld Pesrlstein, Chicago, IL. S' Respondent, Jim Amato, ("Respondent"), did not submit a response to the Statement of Claim. NATURE OF DISPUTE: Member v. Customer DATE FILED: January 27, 20

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Earl J. Bauer and Rita Ann Bauer, as Trustees of The Bauer Family Trust " 04-00523 Edward D. Jones & Co, and Michael Allan Goethals Hariris PJt fi " Dallas, Texas Public Customer v. Member Firm and Associated Person o Claimant Earl J. Bauer and Rita Ann Bauer, as Trustees of The Bauer Family Trust, hereinafter referred to as "Claimants": Mark A. Bukaty, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thft Tlai'manf f!agft Niwnhftr- 04-00511 Martha L . Bauer < • , - . • . ftQ nf the "RfispnnHi^ntfi Hearing Site- Philadelphia, PA Raymond James Financial Services, Inc. Devon Financial Group, Ltd. Charles DiPuppo Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. RFPRFSFNTATION OF PARTIES Claimant, Ma

Award NASD Dispute Resolution Dr. Vincent Genti Elsoffer, and AndW| Case Number: 00-H Jrlbitration Between: >, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Malcolm jlsoffer, (Respondents) Hearing Site: Cleveland, Ohio Claimant, Dr. Esq., Hermann, (j, Respondents, Me Elsoffer"), and "Respondents": B| Previously repre& Merrill Lynch, Pi Statement of Claj Claimant signed Joint Statement o: Merrill

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00510 Merrill Lynch, Pierce, Fenner & Smith, Inc. and Adam D. Uhlan, Claimants v. Merle A. Wood, ffi, Respondent. ATTORNEYS: For Claimants, Merrill Lynch, Pierce, Fenner & Smith, Inc. and Adam D. Uhlan, ("Claimants"), appeared Jason S. Haselkorn, Esq., of the firm Boose Casey Cittin Lubitz Martens McBane & O'Connell, West Palm Beach, FL. For Respondent, Merle A. Wood, HI, ("Respondent"),