Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norman Beyerman and Mary Ann Beyerman, (Claimants) vs. Prudential Securities, Inc. and Oswald Mechsner, (Respondents) Case Number: 00-04381 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Norman Beyerman ("N. Beyerman") and Mary Ann Beyerman ("M. Beyerman"), hereinafter collectively referred to as "Claimants": Andrew Giles Freda, Esq., a sole practitioner, T

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Clifton W. Shepherd, Individually, and as Owner of the Clifton W. Shepherd IRA Plan Names of the Respondents Hancock Investment Services, Inc. Randall Bluth Case Number: 03-00762 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Clifton W. Shepherd, Individ

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00759 Thomas Taylor and Lois Taylor, husband and wife Name of the Respondent Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc., a Delaware corporation Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Thomas Taylor and Lois Taylor, husband and wife, hereinafter collectively referred to as "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Branari Family Limited Partnership, Paul Labiner, General Partner Names of the Respondents First Montauk Securities Corp. and Jeffrey Donner, individually Case Number: 03-00752 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Branari Family Limited Partnership, P

05/14/2004 15:19 FAX 202 728 8082 NASD DISPUTE RESOLUTION 1)003/008 \ ' " • ' * . , ' Award NASD Dispute Resolution In the Matter of the Arbitration Between: i ftf foe Claimant r^gfrNiirhter' 03-00749 David S.Kurke r\f the Rf*epfynftet\tg Ifoaring Site.' Washington* DC Oscar Gruss & Sons, Inc. Phfljp Wagenheim Nature of the Dispute; Customer vs. Member and Associated Person. HF PAKTIES Claimant, David S, Kurke ("Claimant"), was represent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00743 Mary J. Riesberg Name of the Respondents Hearing Site: Kansas City, Missouri A.G. Edwards & Sons, Inc., James R. Wiklund, and Brian W. Wiklund NATURE OF THE DISPUTE Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Barry Estell, Esq., of the Law Offices of Barry Estell located in-Mission, Kansas, r

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00742 Larry C. McGuire and June A. McGuire, Claimants vs. Morgan Stanley Dean Witter, Inc., Respondent. ATTORNEYS: Claimants, Larry C. McGuire and June A. McGuire (collectively "Claimants") appeared pro se., Wayzata, MR Respondent, Morgan Stanley Dean Witter, Inc., ("Respondent") appeared through its in-house counsel, Keith Guilfoyle, Esq., New York, NY. DATE FILED: January 31, 2003

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant John M. Kendall v Case Number: 03-00741 Minneapolis, Minnesota Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Jason Bo-Alan Beckman, and Matthew Howard Engen Nature of Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES John M. Kendall ("Claimant") was represented by Jon M. Hopeman, Esq. and Eric J. Riensc

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Robert L Welter v. 03-00740 Denver, Colorado Respondent Fidelity Management & Research Company Nature of Dispute: Customer v. Non-Member REPRESENTATION OF PARTIES Robert J. Welter ("Claimant") appeared pro se. Fidelity Management & Research Company, ("Respondent") was represented by Rodney Acker, Esq., of Jenkins & Gilchrist, Dallas, Texas. CASE INFOR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia L. Densmore and Patricia L. Strepnica IRA Rollover (Claimants) v. Wachovia Securities, Raymond Sole, and Karl F. Baumholtz (Respondents) Case Number: 03-00738 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Patricia L. Densmore ("Densmore") and Patricia L. Strepnica IRA Rollover ("Strep