Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 03-01265 Robert L. Holstein, individually and as beneficiary of the Robert L. Holstein MD SC Employees Profit Sharing Plan & Trust U/A 07/11/85 and joint tenant of the Robert and Judith L. Holstein joint account; Judith L. Holstein, individually and as beneficiary of the Judith L. Holstein, IRA and joint tenant of the Robert and Judith L. Holstein join

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Lawrence S. Katz and Karen A. Katz and Names of Respondents Morgan Stanley DW Inc. Morgan Stanely Dean Witter & Co. The Sasson Group and Albert A. Sasson Case Number: 03-01264 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customers v. Member, Non-Members and Associated Person REPRESENTATION OF PARTIES Lawrence S. Katz and Kare

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Okland Properties, Inc., Jack Okland, Sr. and Jeanne G. Okland, Claimants v. Empire Capital Group, LLC, Sterne, Agee & Leach, Inc. and William P. Enright, Jr., Respondents Case Number- 03-01262 Situs: Salt Lake City, Utah Nature of the Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES For Claimants: Mark O. Morris, Esq. SneU&WilmerLLP Salt

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ernest Friedman v. Delta Asset Management Company, L.L.C., Penson Financial Services, Inc., Ronald D. Armitage and Mario Rodriguez (a/k/a Mario Casais) Case Number: 03-01261 Hearing Site: Los Angeles, California Nature of the Dispute: Customer vs. Member, Non-Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: For Respondents: Delta Asset Man

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Argo Corporation, 304 West Realty Co., 50 West Realty Co., 69 Fifth Co., Ambro Associates, Argo/875, Argo Corp. Brokerage, Berkley Realty Associates, Cenpark Realty, Cleo Realty Associates, Henro Realty Co., Ja Han LLC, Jemrock Realty Corp., Martinique Realty Associates, Outstate Realty Corp., Quality & Ruskin Associates, Westman Realty Co., and Windsor-Oxford Co. (Claima

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Danny Shank and Barbara Shank, and Danny Shank, IRA (Claimants) v. A.G. Edwards & Sons, Inc. (Respondent) Case Number: 03-01249 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Danny Shank ("D. Shank") and Barbara Shank ("B. Shank"), and Danny Shank, IRA ("D. Shank IRA") hereinafter collectively referred to as "Claima

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants/Counter-Respondents Case Number: 00-04452 Kenneth Lepori and Randall Hammond Name of the Respondent/Counterclaimant Hearing Site: Houston, Texas Merrill Lynch, Pierce, Fenner, & Smith, Inc. REPRESENTATION OF PARTIES Claimants/Counter-Respondents Kenneth Lepori ("Lepori") and Randall Hammond ("Hammond"), hereinafter collectively referred to as "Claimants

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01242 Billy and Gloria Williamson Billy D.Williamson IRA Name of the Respondent Hearing Site: New Orleans, Louisiana Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Billy and Gloria Williamson and Billy D. Williamson IRA, hereinafter collectively referred

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Deepen A. Modi And 03-01240 Chicago, Illinois Name of Respondents Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Deepen A. Modi ("Claimant") was represented by Frederick J. Otto, Esq., Otto & Associates, Park Ridge, Illinois. ' Prudential Equity G

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Tammy Stringfellow, Robert Hager, Pierre Petrau, Arnold Morris, Carol Morris, Danny Morris, James Madden, Barbara Madden, Charles West, Rose Beranek, and Walter Hager v. 03-01236 Denver, Colorado Respondents Locust Street Securities, Inc., Michael Loween, Kathy Loween and Loween & Associates a/k/a Michael A. Loween & Associates Cross-Claimant Loc