Award NASD Dispute Resolution In the Matter of the Arbitration Between: Randall L. Anderson Trustee of the Bernice M. Thornburgh Trust, Claimant v. Salomon Smith Barney, Inc. and Steven Eugene Lahre, Respondents Salomon Smith Barney, Inc. and Steven Eugene Lahre, Respondents/Third Party Claimants v. Randal L. Anderson, Trustee, Third Party Respondent Case Number: 03-01712 Hearing Site: Portland, Oregon Nature of Dispute: Customer v. Member Firm and Asso

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01711 Jason Marshall Name of the Respondent Hearing Site: Atlanta, Georgia Robert W. Baird & Co., Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Jason Marshall, hereinafter referred to as "Claimant": Frank A. Lightmas, Jr., Esq., Lightmas & Delk, Atlanta, Georgia, For Robert W. Baird & Co., Inc

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Timothy Whalen (Claimant) v, Wachovia Securities Financial Network, Inc. f7k/a First Union Securities Financial Network, Inc., Ryan Michael Hans, and Skip Granger (Respondents) Case Number: 03-01710 Hearing Site: Columbus, Ohio Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Timothy Whalen ("Whalen") hereinafter referre

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01708 Patricia Ilomaki Jon Ilomaki Name of the Respondent Hearing Site: Boca Raton, Florida Empire Financial Group Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Patricia Ilomaki and Jon Ilomaki, hereinafter collectively referred to as ("Claimants"): Marc. S. Dobin, Esq., Dobin & Jenks, LLP, Jup

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dean Tabai, Claimant v. Morgan Stanley DW Inc. and Trent P. Staggs, Respondents Case Number: 03-01707 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Pejrson i REPRESENTATION OF PARTJES For Claimant: Timothy A. Canning, Esq. Novato, California For Respondent Morgan Stanley DW Inc.: Judith M. Rosenberg, Esq. Morgan Stanley

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Travis N. Allan, Claimant v. US Bancorp Investments, Inc. Respondent US Bancorp Investments, Inc.Counter-Claimant v. Travis N. Allan, Counter-Respondent Case Number: 03-01706 Hearing Site: Portland, Oregon Nature of Dispute: Associated Person v. Member Member v. Associated Person REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: Paul J. Speck, Esq. Forcum & Speck

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Charles Mudrak v. 03-01702 Minneapolis, Minnesota Respondents New England Securities Corporation and New England Financial Nature of Dispute: Customer v. Member and Non-Member REPRESENTATION OF PARTIES Charles Mudrak ("Claimant") was represented by Harvey H. Eckart, Esq., of the Harvey Eckart Law Offices, St. Paul, Minnesota. New England Securities Co

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Rob Huizenga and Wanda Huizenga, Claimants v. TD Waterhouse Investor Services, Inc., Respondent Case Number: 00-04483 Hearing Site: Los Angeles. California REPRESENTATION OF PARTIES For Claimants: Rob Huizenga In Pro Per Los Angeles, California For Respondent: John L. Erikson, Esq. Jones, Bell, Abbott, . Fleming & Fitzgerald - Los Angeles, California St

Award NASD Dispute Resolution In the Matter of the Arbitration Between: "Man-IP nf the Claimant Barbara J. Snapp, IRA nf the Respondents Number- 03-01699 Site- Charlotte, North Carolina BB&T Investment Services, Inc. John Wyman Wesley Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Barbara J. Snapp, IRA, hereinafter referred to as "Claimant", was represented by Michael D. Glenn, E

02X06/2004 15:24 FAI 212 858 4389 NASD REGULATION ©002/007 Award NASD Dispute Resolution In. the Matter of the Arbitration Between: Fred Fatzler (Claimant) vs. Joseph C. Quattrochi (Respondent) Case Number: 03-01695 Hearing Site: Hew York, New York Nature of the Dispute: Customer vs. Associated Person REPRESENTATION OF PARTIES Claimant Fred Fatzler ("Fatelei") hereinafter refeired to as "Claimant" appeared pro se. Respondent Joseph Quattrochi ("Quat