AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Mark C. and Pattie L. Heitzman vs. 03-00076 Oklahoma City, Oklahoma Respondents 1 st Global Capital Corporation, Stephen P. Regouby d/b/a Union Financial Advisors, Inc., and National Financial Services Corporation Nature of the Dispute: Customers vs. Member Firms, Non-Member Firm and Associated Person REPRESENTATION OF PARTIES Mark C. and Pat

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Pamela A. Dobel v. 03-00075 Minneapolis, Minnesota Respondents Edward D. Jones & Company and Eugene C. Wipf Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Pamela A. Dobel ("Claimant") was represented by Andrea D. Kiehl, Esq., of Flynn, Gaskins & Bennett, L.L.P., Minneapolis, Minnesota. Edward D. Jones & Company ("Edw

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Patricia A- MacLeod and The Patricia A. MacLeod Irrevocable Trusts 03-00074 Minneapolis, Minnesota v. Respondents Multi-Financial Securities Corp., Cambridge Investment Research, Inc., Paul Basballe, AMG Financial Services, David A. Duhn, and First Integrity Financial Services Nature of Dispute: Customers v. Members, Associated Persons and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00067 Gayle Scott and Holli Lasky JTWROS Name of the Respondent Hearing Site: Boca Raton, Florida CIBC Oppenheimer Nature of the Dispute: Customer vs. Member Firm. REPRESENTATION OF PARTIES For Gayle Scott and Holli Lasky JTWROS, hereinafter collectively referred to as "Claimants": Darren C. Blum, Esq. and Scott L. Silver, Esq., Blu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pagp ]sJnrnhpi" 03-00066 David and Jackie Bornstein f tfr* p^cprm^ftf H^^pg siter Dallas, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc. OF Customers v. Member Firm Claimants David and Jackie Bornstein, hereinafter collectively referred to as "Claimants": David L. McGee, Esq. of the firm of Beggs & Lane, located in Pensacola, Florida.. Respondent Merrill Lynch, Pierce

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stephen M. Baranek and John O. Whalen (Claimants) vs. Jospeh Gunnar & Co., LLC (Respondents) Case Number: 03-00065 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Stephen M. Baranek ("Baranek") and John O. Whalen ("Whalen"), hereinafter collectively referred to as "Claimants": Mikel J. Hoffman Esq., sole practitioner, Babylon, NY. Respondent, Joseph Gunn

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sandra Benezra, Claimant v. Morgan Stanley & Co., Incorporated and Morgan Stanley DW Inc., Respondent Morgan Stanley & Co., Incorporated and Morgan Stanley DW Inc., Counter-Claimants v. Sandra Benezra, Counter-Respondent Case Number: 03-00057 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Members Nature of the Dispute: Members v. Customer REPRESENTATION

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Judy Gray, Executrix for the Estate of Leila Dunkelberg and Case Number. 03-00053 Hearing Site: Houston, Texas Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Judy Gray, Executrix for the Estate of Leila Dunkeiberg ("Claimant") was represented by Royal B. lea, Esq., B

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: William Ganci and Kathleen Ganci, (Claimants) vs. TD Waterhouse Investor Services, Inc., (Respondent) Case Number: 00-04294 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, William Ganci ("W. Ganci") and Kathleen Ganci ("K. Ganci"), hereinafter collectively referred to as "Claimants": Jerry I. Lefkowitz, Esq., a sole practitioner, Lake Success, NY.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants William Sexton and Diane Sexton William Sexton (individually) and 03-00051 Omaha, Nebraska Name of Respondents Wachovia Securities, Inc. Jeffrey A. Carpenter Nature of the Dispute: Associated Person and Customer vs. Member and Associated Person REPRESENTATION OF PARTIES William Sexton and Diane Sexton ("Claimants") were represented by Frederick B