N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS William Simkins, Individually, Josephine Simkins, Individually, William Simkins, in his capacity as Executor of the Estate of Everett Simkins, Deceased, Claimants, Consolidated V. Nos. 90-03517 91-03292 Z^' Merrill Lynch, Pierce, Fenner & Smith, Inc. Laurie J. Canaday, Respondents. REPRESENTATION OF PARTIES O For Claimant: James M. Dezelar, Esq. of Robbins, Salomon

stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Michael Morse Name of the Respondent Morgan Stanley DW, Inc. Case Number: 02-02325 (Consolidated with 02-02800) Hearing Site: Boca Raton, Florida In the Matter of the Arbitration Between: Names of the Claimants Margaret Morse Irrevocable Trust Wendy Morse Names of the Respondents Morgan Stanley DW, Inc. Guillermo M. Forer

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Everen Securities, Inc. and 98-00522 Name of Respondent Michael J. Kandler REPRESENTATION OF PARTIES Everen Securities, Inc. ("EVEREN" and/or "Claimant") was represented by RonaldP. Kane, Esq., Gomberg Kane & Fischer, Ltd., Chicago, Illinois. Michael J. Kandler ("Respondent") appeared pro se. CASE INFORMATION The Statement of Claim was filed on or about

STIPULATED AWARD NASD Dispute Resolution. In the Matter of the Arbifration Between Names of Claimant LoisCopple Case No. 02-01566 Names of Respondents Clark Group, Merrill Lynch Pierce Fenner & Smith Inc., Thomas Clark and Grant Clark In the Matter of the Arbifration Between Names of Claimant Ellen Jayne Souza Copple Case No. 02-01567 Names of Respondents Clark Group, Merrill Lynch Pierce Fenner & Smith Inc., Thomas Clark and Grant Cla

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: AM Capital, LLC v. ABN Amro Sage Corporation Case Number: 02-00049 consolidated with . . 02-06109 Tucker Anthony, Inc. n/k/a RBC Dain Rancher and Gerber Asset Management, L.L.C. v. ABN Amro Sage Corporation Hearing Site: Chicago, Illinois Nature of the Dispute: Member vs. Members. REPRESENTATION OF PARTIES Claimant AM Capital ("AMC") was represented by Eden L. Rhorer,

Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between: Henry Nowinski, Regina Nowinski, Elizabeth Tendler, Constance Nobis, Rudolf Nobis, Henry Sharpe, and Arline Sharpe, (Claimants) vs. Edward Angrisani, Edward Landen, The Equitable Life Assurance Society of the United States, Equico Securities, Inc., EQ Financial Consultants, Inc., AXA Advisors, LLC, Charles D. Erb, Charles D. Erb & Associates, Inc., CEA Financial Group, Inc., CEA

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Natne of Claimant Stifel, Nicolaus & Company, Incorporated and Case Number 96-00937 Name of Re.spnndent Paul W. Inman, II RKPRRSKNTATTON OF VMHTPSi dainnant Stifel, Nicolaus & Co., Inc. was represented by Bart A. Boren, Esq. of Williams, Luttrt;ll & Boren, P.C. located in Oklahoma City, OK Respondent Paul W. Inman, II was represented by S

Award NASD Dispuie Resolution, Inc. In Che Matter of die Arbitration Benveen Kame of Qaimant Banc of .'\ttienca Investment Services, Inc. Names of Res Nancy Harris Persons Mary Long Denton Wachovia Securities, Inc. Case No. 00-04838 In the Matter of the Arbiiration Between Name4 of Claimanls Nancy Harris Persons; Maiy Long Denton, c/fV'j Name of Respondent Banc of America InVestUienl Services. Inc. Consolidated with Cas

Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Donald H. Vliegenthart, Donald H. Vliegenthart TTEE PFT SHR FLN & Trust Cowen & Co. Alternative Spine Center U/A DTD 3/15/96 Names of the Respondents Whale Securities Co., L.P. now known as Bluestone Capital Corp., Carlos Antonio Garceran, WiUiam G. Walters, Joseph W. McSherry and Donald J. O'Connor Case Number: 01-03024 (Consohdated with 01-04267 an

Award NASD Dispute Resolution, Inc. In the Matter of the Consolidated Case entitled "McLintock Consolidated Case" Consolidated Case Number: 00-04931 William N. McLintock and William N. McLintock, IRA v. Barron Chase Securities, Inc., etal. 00-04931 Kenneth R. Neel and Kenneth R. Neel Revocable Trust v. Barron Chase Securities, Inc., et al. 00-05288 Case Number: 00-04931 Hearing Site: San Diego, California William N. McLintock and William N. McLintock,