Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02719 Thomas G. Butler, Trustee of the Thomas G. Butler Amended and Restated Revocable Trust Names of the Respondents Hearing Site: Orlando, Florida A.G. Edwards & Sons, Inc. John Umber Nature of Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Thomas G. Butler, Trustee of the Thomas G.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Melford Roeder Carol Roeder Melford Roeder and Carol Roder, JT Tenants Names of the Respondents Morgan Stanley Dean Witter Daivd Hyams Case Number: 03-02717 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Melford Roeder ("M. Roeder"), Carol Roed

Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Name of the Claimant Case Number 03-02711 Fahnestock & Co., Inc. Name of the Respondent Hearing Site: Atlanta, GA Charles A. Busbee Nature of the Dispute: Member vs. Associated Person. For Fahnestock & Co., Inc. ("Fahnestock? 1 ), hereinafter referred to as "Claimant": Evelyn Bukchin, Counsel, Fahnestock, New Yotk, NY, Charles A. Busbee ("Busbee"), hereinafter referr

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Brian S. Smoly, individually Darlene M. Wohlfeil, individually Brian S. Smoly and Darlene M. Wohlfeil, as Co-Trustees Names of the Respondents Citigroup Global Markets, Inc. f/k/a. Salomon Smith Barney, Inc. JackB. Gnibman Charles Sawicki Joseph S. Jones, IV Case Number: 03-02705 Hearing Site: Boca Raton, Florida Nature of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of tha Claimants Azfar M. Malik and Maheen Malik, Jointly and Individually, and for Samir Malik Custodial Account, Zayir Malik Custodial Account and Areeb Malik Custodial Account Name of the* Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Shariq Mansuri Case Number: 03-02704 Hearing Site: St. Louis, Missouri MATURE HF HlfiPI ITF Customers

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Luba Price, (Claimant) vs. Ameritrade, Inc. and Advanced Clearing, Inc., (Respondents) Case Number: 00-04516 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Luba Price, hereinafter referred to as "Claimant": Jenice L. Malecki, Esq., The Law Office of Jenice L. Malecki, New York, NY. Respondents, Ameritrade, Inc. ("Ameritrade") and Advanced Clearing, Inc. (

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ronald S. Bergman and Names of Respondents Transamerica Financial Advisors, Inc., Locust Street Securities, Inc., and Lonnie-T. Shannon Case Number: 03-02703 Hearing Site: Omaha, Nebraska NATURE OF CASE Customer v. Members and Associated Person REPRESENTATION OF PARTIES Ronald S. Bergman ("Bergman or Claimant") was represented b

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claimant James Robert Kimberlin Case Number: 03-02696 v. Respondents Metropolitan Life Insurance Company Hearing Site: Nashville, Tennessee Metlife Securities, Inc. Nature of the Dispute: Associated Person vs. Member Firms REPRESENTATION OF PARTIES Claimant, hereinafter referred to as "Claimant": Jeffrey Switzer, Esq. Evans, Jones & Reynolds Nashvi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bill L. Sanders vs. Charles Schwab & Co., Inc. and Brady McArdle Case Number: 03-02692 Hearing Site: Indianapolis, Indiana NATURE OF DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES * Claimant: Bill L. Sanders ("Sanders"), hereinafter referred to as "Claimant," represented by Martin Fletcher, Sr., Esq., Fletcher & Niemann, Fort Wayn

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant James H. McGrath Name of the Respondents A.G, Edwards & Sons, Inc. and Thomas L. Rape Case Number 03-02690 Hearing Site: St. Louis, Missouri Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, James H. McGrath, hereinafter referred to as "Claimant": Steven W. Koslovsky, Esq., located in Marylan