Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Dorothy A. Thompson Rev. Trust, Dorothy A. Thompson and Floyd Thompson, Trustees Names of the Respondents Salomon Smith Barney, Inc. William R Dodge Howard Guggenheim Lisa Kaye Paul Jay Abrams Case Number: 03-01615 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESEN

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Joel R. and Paula Brown v. Case Number: 03-01611 Hearing Site: Houston, Texas Names of Respondents IMS Securities, Inc. and Stephen L Friedman and Names of Third Party Claimants IMS Securities, Inc. and Stephen L. Friedman v. Name of Third Party Respondent Lester Dearl Butler, Jr. NATURE OF DISPUTE Customers v. Member Firm an

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of th? f^iiflant? C a< il ? ft^rpfrffp 03-01610 John Ted and Cynthia K. Gilmore frfc.flrjf)g Sitf-' Dallas, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc.; David H. Komansky; Deepak D. Raj; and, Andrew J. Melnick OF TIT Public Customer v. Member Firm and Associated Persons OF PAKTTFS Claimants John Ted and Cynthia K. Gilmore, hereinafter re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf tfrft Claimants fflpf Nnrnhpr- 03-01610 John Ted and Cynthia K. Gilmore =Qf the Respondents HRaring Site- Dallas, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc.; David H. Komansky; Deepak D. Raj; and, Andrew J. Melnick T Public Customer v. Member Firm and Associated Persons RFPPFSFNTATTON Off PAPTTF.S Claimants John Ted and Cynthia K. Gilmore, hereinafter r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01604 Patricia B. Coleman, Trustee and William J. Coleman, Trustee U/A DTD 09/16/1988 by The Coleman Trust Name of the Respondent Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Patricia B. Coleman, Trustee and Willia

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01603 Letitia M. Hodgetts Thomas J. Hodgetts Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Donald M. Schaefer Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Letitia M. Hodgetts and Thomas J. Hodgetts, hereinafter collective

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Claimant v. Donald G. Cox, Jr., Respondent Case Number: 03-01602 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For Claimant: Laura Ellen Browning, Esq. Haney Woloson & Mullins Las Vegas, Nevada For Respondent: Gex F. Richardson, Esq. Gex F. Richardson, P.A.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01601 Irene Hawkins Tikanen, Claimant vs. TD Waterhouse Investor Services, Inc., Respondent. ATTORNEYS: Claimant, Irene Hawkins Tikanen, ("Claimant"), appeared pro se, Pahrump, NV. Respondent, TD Waterhouse Investor Services, Inc., ("Respondent"), appeared through its in- house counsel, Janis Campanella, Esq., Boca Raton, FL. DATE FILED: March 5, 2003 CASE SUMMARY: Claimant alleged that

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ann Del Rio (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Morgan Stanley DW, Inc., Joseph Cataldo; and Steven Klein (Respondents) Case Number: 03-01599 Hearing Site: New York, New York Nature of the Dispute: Customer v. Members and Associated Persons. REPRESENTATION OF PARTIES Claimant Ann Del Rio ("Del Rio") hereinafter referred to as "Cl

r Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sewall F. Hodges (Claimant) v. Scudder Investor Services, Inc. (Respondent) Case Number: 03-01597 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Sewall F. Hodges ("Hodges") hereinafter referred to as "Claimant": Daniel A. Pollack, Esq., Pollack & Kaminsky, New York, NY. Respondent Scudder Investor Se