Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name nf ("laimants Frank Collier H and Marsha Collier, JTWORS Case No. 00-01692 Name Harold C. Barrett; Harold Eugene Stice; First Liberty Investment Group, Inc.; and Flint D. Jones .aring Site.: Nashville, Tennessee Claimants/Counter-Respondents Frank Collier n and Marsha Collier, JTWORS ("Collier") were represented by David P. Lyons, Esq. of Nashville, Ten

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Morgan Stanley DW, Inc, i . ' - and 03-08702 , . Louisville, Kentucky Donald L. and Lynn M. Greene Nature of the Dispute: Member vs. Customers REPRESENTATION OF PARTIES Morgan Stanley DW, Inc. ("Claimant") was represented by Thomas A. Volz, Esq., Kane & Fischer, Ltd., Chicago, Illinois. - . • " Donald L. and Lynn M. Greene ("Respondents") did not

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nicholas J. Michael (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. (Respondent) Case Number: 03-08693 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Nicholas J. Michael ("Michael") hereinafter referred to as "Claimant": Jeffrey M. Silverstein, Esq., Jeffrey M. Silverstein and A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Earl Bynum H. Elaine Bynum Names nf the JJB Milliard, W. L. Lyons, Inc. Jimmy Niles Hudson Case Number: 03-08679 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customers vs. Member and Associated Person. RF.PRFSRNTATTON OF PARTTF.S Claimants, Earl Bynum and H. Elaine Bynum, hereinafter collectively referred to as "Claimants"

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Rt. Rev. Michael E. Barna and Jane E. Barna and Respondents XCU Capital Corporation, Inc. Thomas G. Pilch Case Number: 03-08675 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Rt. Rev. Michael E. Barna and Jane E. Barna ("Claimants") were represented by Joseph H. Spiege

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Fernando and Gilma Rivas and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Henry Medina and Medina & Medina Group Case Number: 03-08671 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm, Associated Person and Non-Member REPRESENTATION OF PARTIES Fernando and Gilma Rivas ("Claimants") were represent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harvey Gollins, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Case Number: 03-08669 Hearing Site: Seattle, Washington Nature of the Dispute; Customer v. Member REPRESENTATION OF PARTIES For Claimant: Celeste Chiaramonte, Esq. Woska & Hayes, LLP Kingwood, Texas For Respondent: Laurie Lootsens Chyz, Esq. Hillis Clark Martin & Peterson Seatt

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Don A. Hermansdorfer Patricia A. Hermansdorfer riaimants &*< &. Number! 03-08668 Nampg of thp RpKpondente Hrarmg Site- Washington, D.C. Merrill Lynch, Pierce, Fenner & Smith, Inc. Roy Dwane Johnson Frank Lundy Nature of the Dispute: Customers vs. Member and Associated Persons. RFPKFSFNTATfON OP PARTTF.S Claimants, Don A. Hermansdorfer and Patricia A. Herman

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christopher N. Chamberlin, Janet L. Chamberlin, and Christopher N. Chamberlin & Janet L. Chamberlin JTWROS (Claimants) v. Washintgon Square Securities, Inc., Richard Anthony Bechtel, TTI, and Trent Allen Schuler (Respondents) Case Number: 03-08667 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: "Mame nf tne P.lfliinflnt Case. Nimiher; 03-08660 Robert M. Schwartz ^ nf the Respondents Hearing Site: Philadelphia, Pennsylvania UBS Financial Services Inc. f/k/a UBS PaineWebber, Inc. George Page Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Robert M. Schwartz, hereinafter referred to as "Claimant", was represent