Award NASD Dispute Resolution In the Matter of the Arbitration Between: Don Bowman, Claimant v. Salomon Smith Barney, Inc. and Tracy Rae Turner, Respondents Case Number: 02-02605 Hearing Site: Portland, Oregon Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Scott R, Schewan, Esq. Born, Pape, Shewan & Camenson, L.L.P. Clovis, California For Respondents: Paul J. Schumacher, Esq. Bingh

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Estate of Suzanne deFlorez (Claimant) v. Janney Montgomery Scott, LLC and Vincent Signorile (Respondents) Case Number: 02-02602 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Estate of Suzanne deFlorez ("deFlorez") hereinafter referred to as "Claimant": David E. Robbins, Esq., Kaufmann, Feiner

NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Muriel E. Kenyon, (Claimant) vs. Kirlin Securities, Inc. and Brian Alton, (Respondents) Case Number: 00-02678 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Muriel E. Kenyon, hereinafter referred to as "Claimant": John J. Blanchard, Esq., a sole practitioner, Montvale, NJ. Respondent, Kirlin Securities, Inc. ("Kirlin"): John T. McGuiie, Esq., a sole practitioner,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Beverly Whatley and Case Number: 02-02600 Hearing Site; Houston, Texas Names of Respondents Merrill Lynch, Pierce, Fenner& Smith, Inc., Phillip D. Kardenetz, William A. Lorenz, and Henry Blodgett NATURE OF CASE Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Beverly Whatley ("Claimant") was represented by Wil

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Ron and Michelle Ward, Individually, and Ron Ward, Trustee of the R.E. Ward Revocable Living Trust Dated 4/13/90 Name of the Respondent Edward D. Jones & Co., L.P. d/b/a Edward D. Jones Case Number: 02-02597 Hearing Site: St. Louis, Missouri NATURE OF DISPUTE Customer vs. Member Firm REPRESENTATION OF PARTIES Joseph D. Sheppard, El,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Nnmher- 02-02595 German R. Mora, Name of the Respondents Rearing Site- Houston, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc., Christian C. Bauman, KFPKESFNT ATIOTV OF PARTTF.S Claimant German R. Mora, hereinafter referred to as "Claimant," was represented Ronald H. Thrash, Esq. of Shephard, Smith & Bebel, P.C. located in Houston, Tex

Award NASD Dispute Resolution D HOY 0 6 2003 U In the Matter of the Arbitration Between: Name of the Claimant Case Numbed 02-Q2593 JudyB. Vandergrift Name of the Respondents Hearing Site: Kansas City, Missouri Morgan Stanley DW, Inc., Gary B. Krings, Dwight J. Ensminger, James J. Matteuzzi, and Clifford A. Ingram REPRESENTATION OF PARTIES Barry D. Estell, with law offices located in Mission, Kansas, represented Claimant Judy B. V

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Michael James Fagan, Sr. Name of the Respondent Prudential Securities, Incorporated n/k/a Prudential Equity Group, Inc. Case Number: 02-02588 Hearing Site: New Orleans, Louisiana REPRESENTATION OF PARTIES For Michael James Fagan, Sr., referred to as "Claimant": L, Jerome Stanley, Esq., L. Jerome Stanley, P.C., Baton Rouge, Louisiana. On o

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Michael James Fagan, Sr. Name of the Respondent Prudential Securities, Incorporated n/k/a Prudential Equity Group, Inc. Case Number: 02-02588 Hearing Site: New Orleans, Louisiana OF PARTIES For Michael James Fagan, Sr., referred to as "Claimant": L. Jerome Stanley, Esq., L. Jerome Stanley, P.C., Baton Rouge, Louisiana. For Prudential Securiti

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Frederick W. Ross Inter Vivos Trust Estate of Frederick W. Ross June Ross Names of the Respondents Allen Douglas Securities, Inc. David W. Matthews, Jr. Richard A. Pizzuti Stephen Pizzuti Case Number: 02-02587 Hearing Site: Orlando, Florida Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION