STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Morgan Stanley DW, Inc. and Case Number: 03-01457 Hearing Site: Houston, Texas Names of Respondents Stephen J. Barth, and June E. Barth NATURE OF CASE Member Firm v. Customers REPRESENTATION OF PARTIES Morgan Stanley DW Inc. ("Claimant") was represented by Kevin K. Fitzgerald, Esq. and Brian G. Mulherin, Esq. of Jones, Bell, Abbott,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant James Franklin, Individually and on Behalf of his IRA and Case Number: 03-01455 Hearing Site: Detroit, Michigan Respondents Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., and Sherwyn Jimmy Mistry NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES James Franklin, Individually and on behalf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 03-01454 Raul A. Chipongian and Mary Lou Chipongian Name of the Respondent Hearing Site: St. Louis, Missouri Edward D. Jones & Co. Customers vs. Member Firm RFPRFSFNTAT|nfd OF PARTIFS Steven W. Koslovsky, Esq. of Maryland Heights, Missouri represented the Claimants, Raul A. Chipongian and Mary Lou Chipongian, hereinafter collectively re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Travis Brown Case Number: 03-01450 Name of the Respondent Salomon Smith Barney, Inc. Hearing Site: Washington, B.C. Nature of the Dispute: Customer v Member. REPRESENTATION OF PARTIES Claimant, Travis Brown, hereinafter referred to as "Claimant", was represented by Harry S. Miller, Esq. and Matthew J. Tuttle, Esq., Perkins, Smith & Cohen, LLP, Bo

ORIGINAL NASD Dispute Resolution In the Matter of the Arbitration Between: David P. Young and Phyllis B. Young, Trustees, UTD 2/27/93 fbo and David P. Young, IRA, Claimants v. Wedbush Morgan Securities Inc., Stephen E. Stock, Sr., and Wayne E. Bieniasz, Respondents Case Number: 03-01443 Hearing Site: Las Vegas, Nevada Nature of Dispute: Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES For Claimants: Alan L. Sachs, Esq. Th

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Karen L. Kasden (Claimant) v. Dreyfus Service Corporation and Michael Papadoulis (Respondents) Case Number: 03-01439 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Karen Kasden ("Kasden") hereinafter referred to as "Claimant": Anthony J. Horn, Esq., New York, NY. Respondents Drey

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01438 Estate of Althea L. Adalian, Claimant vs. Merrill Lynch Pierce Fenner & Smith Inc, Donald Davis, and Mark Theriault Respondents. ATTORNEYS: For Claimant, Estate of Althea L. Adalian, ("Claimant") appeared the personal representative, G. Adalian, Coronado, CA. Respondents, Merrill Lynch Pierce Fenner & Smith Inc., Donald Davis, and Mark Theriault, (collectively "Respondents") appear

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Nancy G. Nation and Names of Respondents Resource Consulting Group, Inc. David P. Robinson Case Number: 03-01437 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Nancy G. Nation ("Claimant") was represented by Jon M. Smith, Esq., of Kincaid & Morton, of Austin, Texas

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01429 UBS PaineWebber, Inc., Claimant vs. Roderick Potts, Respondent. ATTORNEYS: For Claimant appeared Romaine L. Gardner, Esq., Staten Island, NY. Respondent did not respond to the Statement of Claim. DATE FILED: February 27, 2003 CASE SUMMARY: Claimant alleged that Respondent refused to repay the debit incurred in his account that resulted from a deposit of a stock certificate for 296

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roth Capital Partners, LLC, Claimant v. Henry D. Davidson, Respondent Case Number: 03-01428 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Auderte Paul Morales, Esq. Law Offices of Keesal, Young & Logan Long Beach, California For Respondent: James K. Autrey, Esq. Law Offices of James K.