Award NASD Dispute Resolution In the Matter of the Arbitration Between: James R. Pisaneschi and Carol J. Pisaneschi (Claimants) v. Morgan Stanley DW, Inc. and Michael Raymond Darby (Respondents) Case Number: 03-00599 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants James R. Pisaneschi ("J. Pisaneschi") and Carol J. Pisaneschi ("C. Pisaneschi") and James R. Pisaneschi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Flocco and Robert Flocco IRA (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Timothy M. Keegan (Respondents) Case Number: 03-00598 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Robert Flocco ("Flocco") and Robert Flocco IRA ("Flocco IRA") hereinafter collectively referr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ibrahim Alwareeth and Ayida Mohamed, Claimants v. Scottrade, Inc., Respondent Case Number: 00-04362 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Ibrahim Alwareeth, Pro Se Ayida Mohamed, Pro Se Petaluma, California For Respondent: Mark Finnegan Scottrade, Inc. St. Louis, Missouri CASE INFORMATION Statement of Claim filed

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, Inc. v. Daniel Shainheit Case Number: 03-00596 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Wachovia Securities, Inc., hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Law Offices of Daniel S. Fiore, Arlington, VA. Respondent, Daniel Shainheit, hereinafter referred to as "Respondent", pro se. CASE INFORMATION State

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00590 Patricia Webber Names of the Respondents Hearing Site: Boca Raton New England Securities, Andre Faucher and Paul Sirois Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Patricia Webber ("Webber"), hereinafter referred to as "Claimant": David A. Hoines, Esq., Hoines & Rose

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASES: 03-00589 and 03-02759 Charles Schott and Teresia Rix, Claimants v. OptionsXpress, Inc., Respondent. Charles Schott and Teresia Rix, Claimants v. OptionsXpress, Inc. and Thomas E. Stern, Respondents. ATTORNEYS: Claimants are collectively, "Claimants" Respondents are collectively, "Respondents" Case 03-00589 Claimants, Charles Schott and Teresia Rix, appeared pro se, San Bernardino, CA.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Valerie Serice and 03-00588 Houston, Texas Names of Respondents Stanford Group Company and Jeffrey W. Young Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Valerie Serice ("Claimant") was represented by Bertrand C. Moser, Esq., Attorney at Law, in Houston, Texas. Stanford Group Company ("Stanford Grou

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gail Kalloch and Morgan Dean, Claimants v. optionsXpress Inc., Respondent Case Number: 03-00587 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Gail Kalloch and Morgan Dean Berkeley, California For Respondent: Theodore E. Harman, Esq. Ungaretti & Harris Chicago, Illinois CASE INFORMATION Statement of Claim filed: January 22,2003 C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants William R. Freeman and Donna G. Lansdowne, Claimants, vs. Names of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. Paul L. Reekie, Respondents. Case Number: 03-00585 Hearing Site: Houston, Texas NATURE OF CASE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants William R. Freeman and Donn

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00581 Joseph Danielle Linda Danielle Joseph Danielle IRA Linda Danielle IRA Michael Danielle Michael Danielle IRA 4126, Inc. 4126, Inc. d/b/a M& L Auto Wrecking Profit Sharing Plan Names of the Respondents Hearing Site: Boca Raton, FL Merrill Lynch, Pierce, Fenner & Smith Incorporated Steven Weitz Nature of t