Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant David A. Rawlings Case Number: 03-00228 (Consolidated with 03-02487 and 03-02488) Name of the Respondent The Advisors Group, Inc. Name of the Third Party Respondent James D. Sadlier Hearing Site: Atlanta, OA Nature of the Dispute: Customer vs. Member vs. Associated Person. In the Matter of the Arbitration Between: Names of the Claimants

96-04817 consolidated with 96-3217 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Alan & Heidi Farrugia Name of Respondents Raymond, James & Associates. Inc. Bill J. Short, n Stephen Trigg Kubn REPRESENTATION For Claimants Alan & Heidi Farrugia: Joseph P. Jameson, Esq. and James Karl, Esq. of James Karl & Associates, Marco Island, Florida. For Respondents Raymond, James & Associates,

stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Peter A. Monl^ewicz & Christina IVIonkewicz, JTWROS Case Number 02-06857 Chicago, Illinois and Name of the Respondents Donaldson, Lufkin & Jenrette Securities Corporation, Credit Suisse First Boston Corporation, Michael Vance Noble and Matson Forrest Schwalm Name of the Claimant Consolidated with: Michael J. DeNunzio Case Numbe

o N.A.S.D. ANASD SKncNBL usscdxnxxi OF tjajUkiTus VBOSBS, mc. o In t±e Matter of tbe Azisltzatlcn BetNeen EAdn HBISCD, Aldo H. & Edlaa C. Nalacn Hazed M. HBEpe V. lazaded Securitiee V. Allan Bappe Case #91-00782 laaaxd EAfin Nelsczi v. Secasitles #91-0086B Jtaxd Aldo B. & Bdina C. Nelaca V. Landed Secuzitiiee V. Allan Hnrre Case #91-01100 itaard Bazel M. Bappe V. T.TiAv< Securit:iea o 3ii a

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Julio Prieto, Sr. and Juanita Prieto Names of the Respondents Morgan Stanley Dean Witter, Inc. and Antoni Lucas Case Number: 03-00354 (Consolidated witii 02-07216) Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. In the Matter of the Arbitration Between: Names of the Claimants

Arbitration N.A.S.D. AStARD JUKnCtHdj ASSOdATICN OF SBCDRITIES DEALERS In the Mattier of the Consolidated Arfaitrat:laa Betsrocn IfamB of C^a^™T1ta Carol Z. Bcxdcer Wendy Becker Carolyn Z. Cunneen Ooasolldatied Cases 91-00460, 91-0472 and 91-00473 Mame of PflBPondents Merrill Lynch Pierce Fesmer & Stoith Lac Michael P. Rocney, J^. I^tionai Association of Securities Dealers, Inc NASD Rnancial Center 33 Whiteiiall Street

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Raymond James & Associates, Inc. and Case Number: 02-03824 Hearing Site: Troy, Michigan Name of Respondent Andrew J. Parish REPRESENTATION OF PARTIES Raymond James & Associates, Inc. ("Claimant") was represented by Rick A. Buchwalter, Esq., Raymond James & Associates, Inc., St. Petersburg, Florida. Andrew J. Parish ("Respondent") did not appear. C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Walter D. Sawyer Case No. 00-02859 Name of Respondent TD Waterhouse Investor Services, Inc. Hearing Site: Baltimore, Maryland REPRESENTATION OF PARTIES Claimant, Walter D. Sawyer ("Claimant") represented himself. Respondent, TD Waterhouse Investor Services, Inc. ("Respondent"): Margaret Manolakis, Esq., Stradley Ronin, Philadelphia, Pennsylvania

Award NASD Dispute Resolution In the Matter of the Consolidated Arbitration Number 03-00548 Angeline Davis-Nave Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Marsha A. Kemppainen, Respondents (Case Number: 03-00548) Consolidated with Robert Nave, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated Incorporated and Marsha A. Kemppainen, Respondents (Case Number: 03-01370) Hearing Site: Portland, Oregon Nature of Dispute

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. Stem, 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.