Stipulated Award NASD Dispute Resolution In the Matter 01 tneTArbitration between: Name of the Claimant Case Number: 02-04667 Larry M. Duvall Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW Inc. Jerome Ingate Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Larry M. Duvall ("Duvall"), hereinafter referred to as "Claimant": Joel M. McTague, Esq., Boca Raton, Florida.

AWARD NASD Dispute Resolution MAY .17 2004 U In the Matter of the Arbitration Between Name of Claimants Edward & Joan Sarlo, Individually and as Trustees of the Edward & Joan Sarlo Revocable Trust and 02-04665 Phoenix, Arizona Name of Respondents A.G. Edwards & Sons, Inc. John L. Tate Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Edward & Joan Sarlo, Individually and as Trustees of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jean Soulios (Claimant) v. Robert M. Nathan and MetLife Securities, Inc. (Respondents) Case Number: 02-04662 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Jean Soulios ("Soulios") hereinafter referred to as "Claimant": Joseph M. Princi, Esq., Beverly, MA. Respondent Robert M. Nathan ("Natha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeffrey Nelson, M.D., Jeffrey Nelson IRA, and Jeffrey Nelson Profit Sharing Account (Claimants) v. Weatherly Securities Corporation, Gregory Matthews, John Scott Matthews, Michael David Ward, William R. O'Connell, John Wilson, Steven Frederic Singer, and Christopher Michael Reno (Respondents) Case Number: 02-04646 Hearing Site: New York, New York Nature of the Dispute: Customers vs.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04643 Michael A. and Marilyn A. Giancarlo, claimants vs. Metropolitan Life Insurance Company and Lowell A. Chick, respondents. ATTORNEYS: Claimants appeared pro se, Williamsville, NY. For Respondents appeared in-house counsel Mitchell Elberg, Esq. DATE FILED: August 7, 2002 CASE SUMMARY: Claimants alleged that they requested a transfer of funds on May 31, 2001 but the transfer did no

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Guillermo Nieto and Case Number: 02-04638 Hearing Site: Houston, Texas Names of Respondents Morgan Stanley DW, Inc. Alfonso Asencio NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Guillermo Nieto ("Claimant") was represented by Randall A. Pullman, Esq., of Stumpf, Craddock, Massey & Pullman of San Anto

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Morgan Stanley DW Inc. and 02-04637 Phoenix, Arizona Name of Respondents Michael J. & Joan W. Brubacher Nature of the Dispute: Member vs. Customers. REPRESENTATION OF PARTIES Morgan Stanley DW Inc. ("Claimant") was represented by Gregory P. Gillis, Esq., Ridenour, Hienton,Harper, Kelhoffer,PLLC, Phoenix, Arizona. Michael J. & Joan W. Brubacher ("R

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Kay H. Owen and Cynthia K. Owen and 02-04635 Nashville, Tennessee Name of Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Kay H. Owen and Cynthia K. Owen ("Claimants") were represented by H. Naill Falls, Jr., Esq., of the firm Falls & Veach, Nashville, Ten

Award NASD Dispute Resolution In the Matter of the Aibitration Between: Name nf the riai'manta < "!««» Miimher* 02-04632 John T. Calderaio Christina M. Calderaio >JflTnfl nf the "Respondents Hearing Site: Philadelphia, PA Morgan Stanley, DW, Inc. Chris Schell Schell/Kessler/Baker Group Edward Kain Nature of the Dispute: Customer vs. Member and Associated Persons. 01? PARTTV.fi Claimants, John T. Calderaio and Christina M. Calderaio, h

1 Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimants Alfred Feinblatt, individually and as trustee of the A. J. Feinblatt Trust, authorized agent for the Alex Brown LLC FBO Custodian for A. J. Feinblatt IRA, and as authorized agent for the Wooddale Chiropractic Clinic, Ltd. Donna M. Feinblatt, individually and as trustee' of the D. M. Feinblatt Turst, and as authorized agent for the Alex B