NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01734 UBS PaineWebber Inc., Claimant vs. Christopher Saturley, Respondent. ATTORNEYS: For Claimant previously appeared Romaine L. Gardner, Esq., Staten Island, NY, currently represented by Lisa A. Catalano, Esq., of the firm Davidson, Manchel & Brennan, LLP, Northvale, NJ. Respondent appeared pro. se., Manchester, NH. DATE FILED: March li, 2003 CASE SUMMARY: Claimant alleged that Res

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Plflimanfs Case Number; 03-01732 Frances V. Wofford Frances V.Wofford IRA Name nf the Rggprmftentg Hearing Site* Washington, DC Edward D. Jones & Co., L.P. William Edward Armstrong Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRF.SFNTATTON OF PARTIES Claimants, Frances V. Wofford ("Wofford") and Frances V. Wofford IRA ("Wofford IRA"),

.1 Award NASD Dispute Resolution In the Matter of the Arbitration Between: of the Claimant Case Number 03-01728 Lisa Landers Names of the Respondent^: Hearing Site: Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Evan Chertkov David Paul Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant, Lisa Landers, hereinafter referred to as "Claimant", was represented by Robert J. L

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants William and Georgia Seals and Respondents IMS Securities, Inc., Larry Jon Harn, Christopher D. Gammon, and Jackie Divono Wadsworth and Cross Claimant / Counter Respondent Larry Jon Harn and Cross Respondent / Counter Claimant IMS Securities, Inc. Case Number: 03-01727 Hearing Site: Houston, Texas NATURE QF DISPUTE Customers v.

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Claimants Robert A. Voydat and Rhonda L. Voydat v. Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., David L. Kopp, Jodi T. Rolland and Edward G. Schrandt Case Number: 03-01722 Hearing Site: Denver, Colorado Nature of Dispute: Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTTES Robert A. Voydat and Rhonda L. Voydat, ("C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nancy Konn, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Inc., Shawn B. Peroft and John K. Strine, Respondents Case Number: 03-01720 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Laurel H. Siddoway, Esq. Randall & Danskin, P.S. Spokane, Washington For Respondents: Julie K. T

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kevin Chiu, Claimant v. TD Waterhouse Investor Services, Inc., Respondent Case Number: 00-04485 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES For Claimant: Richard Sacks Irving Stein Two Commercial Blvd. Suite 203C Novato, CA 94949 For Respondent: Cara L. Finan, Esq. Keesel Young & Logan Four Embarcadero Center Suite 1500 San Francisco,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elmer Miller, Claire Miller and The Estate of Helene Morris, Claimants v. Wedbush Morgan Securities Inc., Respondent Case Number: 03-01719 Hearing Site: Anchorage, Alaska Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES For Claimant: William F. Brattain Baker Brattain LLC Anchorage, Alaska For Respondent: Judy Louie Wedbush Morgan Securities Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Valerie Litchfield, Claimant v. v. A.G. Edwards & Sons, Inc. and James K. Tybur, Respondents Case Number: 03-01718 Hearing Site: Salt Lake City, Utah Nature of Dispute: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES For Claimant: Larry G. Reed, Esq. Reed & Wangsgard, L.C. Salt Lake City, Utah For Respondents: Phyllis A. Hartrkh, Esq. A.G. Edwards

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the niarmaTits Maxine K. Bowman, Individually and as Personal Representative of The Estate of Claud A. Bowman Name of the Respondent Morgan Stanley DW Inc. Paul Foster Green flase Number- 03-01717 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customers vs. Member and Associated Person. RFPRFSPNTATTON OF PARTTRS Claimants Maxine K. Bow