Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Evelyn M. Greenfield and Evelyn M. Greenfield IRA, Claimants v. Advest, Inc. and Ralph Picascio, Respondents/Third-Party Claimants v. Eugene Nagel, Third-Party Respondent Case Number: 03-01768 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person (Initial Claim) Member and Associated Peron v. Customer (Third-Party Claim) REPRESE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants John P. Morgan, individually and Jeffrey P. Lawson, not individually but solely as Trustee of The Kacie K. McLean Exempt Trust, The Joseph J. Morgan Exempt Trust, and The Karri J. Gabridge Exempt Trust Name of the Respondent Goldman, Sachs & Co., a New York Corporation and successor in interest to Goldman Sachs & Co., a New

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tlai'mants Case Nirmher 03-01757 Newton and Eleanor Deibert fi nf thf* Respondents Hpflrino Site- Philadelphia, PA JJ.B. Milliard, W.L. Lyons, Inc. (flk/a PNC Brokerage Corp.) Gregory Trimbur Nature of the Dispute: Customers vs. Member and Associated Person. RFPRFSFNTATTON OF PARTTFS Claimants, Newton and Eleanor Deibert. hereinafter collectively referred to as "Claimant

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between , Claimant : Andrew Marer Rosenblum and Case Number: 03-01755 Hearing Site: Detroit, Michigan Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and John M. Nowak . • NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Andrew Marer Rosenblum ("Claimant") was represented by Alan J. Foxman, Esq., Boca Raton, Florida.

NASD RECULATIOM Award NASD Dispute Resolution In the Matter of the Arbitration Between: James P. ReiUy (Claimant) v. Thomas George Damasco, Jr. (Respondent) ; 03*01754 Hearing Site: Cleveland, Ohio Nature of the Dispute; Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant James F. Rcilly ("Reilly") hereinafter referred to as "Claimant": James £. Morgan, Esq., James E. Morgan Attorney at Law, Holland, OH. Respondent Thomas Damasco

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Estate of Theodore Lockreni, Claimant v. Prudential Securities, Inc., Gail Spicuzza-Zorn, and Pruco Securities Corporation, Respondents Case Number: 00-04488 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimant: Samuel Y. Edgerton, Esq. Nash & Edgerton Hermosa Beach, California For Respondents Kimberly Wong, Esq. Prudential Securities Inc. and Keesal, Y

Stipulated Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01747 The Lana T. Nettles, Individually and as Trustee of the Lana T. Nettles Revocable Family Trust Names of the Respondents Hearing Site: Orlando, FL Park Avenue Securities, LLC John E. Watson Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For the Lana T. Nettles, Individually

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01743 John G. Wallace, Jr., Claimant vs. Morgan Stanley Online n/k/a Morgan Stanley DW Inc., Respondent. ATTORNEYS: ~ Claimant appeared pro se, Hermosa Beach, CA. For Respondent appeared in-house counsel Judith M. Rosenberg, Esq., San Francisco, CA. DATE FILED: March 11, 2003 "~ CASE SUMMARY: Claimant alleged that Respondent sold short 1000 shares of NVDA through his individual accou

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas Vazzano IRRA, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc. and UBS Financial Services, Inc., Respondents. Case Number: 03-01737 Hearing Site: New York City, New York Nature of the Dispute: Customer vs. Member Firms. REPRESENTATION OF PARTIES Claimant, Thomas Vazzano IRRA, ("Vazzano"), hereinafter referred to as "Claimant": David W. Rubin, Esq., The Law Offices of

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert J. Smith Revocable Trust dated 9/15/94, Robert J. Smith and Diane E. Smith, Co- Trustees (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Paul E. Brindle, and John D. Canale (Respondents) Case Number: 03-01735 Hearing Site: Albany, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Robert J. S