Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01196 Jennifer M. Winston Name of the Respondent Hearing Site: Orlando, Florida AmSouth Investment Services, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Jennifer M. Winston, referred to as "Claimant": Philip J. Snyderburn, Esq., Snyderburn, Rishoi & Swann, P.A., Orlando, Florida.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Lawrence and Maureen Simms JTWROS and Lawrence J. Simms, IRA Names of the Respondents Wachovia Securities, Inc. and Norman Robbins Case Number: 03-01193 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer v. Member Firm and Associated Person. REPRESENTATION OF PARTIES For Lawrence and Maureen Simms JTWROS and Lawrence J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01190 Laszlo Ruby and Judith Ruby Name of the Respondent Hearing Site: Boca Raton, Florida SunTrust Securities, Inc. Nature of the Dispute: Customer vs. Member Firm. REPRESENTATION OF PARTIES For Laszlo Ruby and Judith Ruby, hereinafter referred to as "Claimants": Wayne H. Schwartz, Esq., Blum, Silver, & Schwartz, L.L.P, Plantation, Flo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Michael W. Martin Case Number: 03-01189 Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. John Pierce, Jr. James Graham, Jr. Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant, Michael W. Martin, hereinafter referred to as

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01188 Donald J. Nowak, DOS Names of the Respondents Hearing Site: Tampa, Florida Donaldson Lufkin Jenrette Securities Corporation n/k/a Credit Suisse First Boston Corporation Jay Murphy Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Donald J. Nowak, DDS, hereinafter referred

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Arlene D. Rowland and 03-01179 Phoenix, Arizona Name of Respondent Prudential Equity Group, LLC Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Arlene D. Rowland ("Claimant") participated pro se after June 21, 2004. Prior to June 21, 2004 Claimant was represented by Robert D. Mitchell, Esq., Mitchell Law Offices, Phoenix

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-04437 James E. McMahan, Claimant vs. Brown & Company Securities Corporation, Respondent. ATTORNEYS: Claimant, James E. McMahan ("Claimant"), appeared Pro Se.: Peachtree City, GA. Respondent, Brown & Company Securities Corporation, ("Respondent") appeared through its General Counsel, Barry S. Fischer, Esq., Boston, MA. DATE FILED: October 5, 2000. CASE SUMMARY: Claimant alleged that

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Cathy Seitz and 03-01178 Phoenix, Arizona Name of Respondents Morgan Stanley DW Inc. Jeffrey Bauman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Cathy Seitz ("Claimant") was represented by Dax R. Watson, Esq., Roshka Heyman & DeWulf, PLC, Phoenix, Arizona. Morgan Stanley DW Inc. ("Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf flip Plaimartt Pagg MimihpT- 03-01177 Lee Jackson Laura A. Pentimone; and, FBT Investments, Inc. inagjjg' Dallas, Texas Claimant Lee Jackson, hereinafter referred to as "Claimant": Alex J. Peragine, Esq. of the firm of Peragine & Neill, L.L.C., located in Covington, Louisiana. Respondents Laura A. Pentimone ("Pentimone") and FBT Investments, Inc. ("FBT"), hereinafter

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: • Kenneth and Dorothy Nolan, > Case Number- 03-01176 Claimants v. , Morgan Stanley DW, Inc. and Steven T. Fischer, Hearing Site: Milwaukee, Wisconsin Respondents NATURE OF THE DISPUTE Customers vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Kenneth and Dorothy Nolan (the "Nolans"), hereinafter collectively referred to as "Claimants": Steve