AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Donald R. and Vicky L. Boles, John M. and Joyce A. Butler, Johnny Mack Clark, Franklin W. and Lorraine M. Crabtree, David and Loretta Fleming, James T. and Patricia A. Lambert, Ralph T. and Rosemary Nelson, Paul A, and Janice Nixon, and Dennis Weber Smith v. 03-08651 Louisville, Kentucky Respondents American Express Financial Advisors, Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-08650 Morgan Keegan & Company, Inc. Names of the Respondents Hearing Site: Atlanta, Georgia Thomas Delahunt, Tyler Delahunt and Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATION OF PARTIES For Morgan Keegan & Company, Inc., hereinafter referred to as "Claimant": Gera

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thfi Plflimant Joy A. Kyzer Name nf the Edward D. Jones & Co., Inc. age Number- 03-08648 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Joy A. Kyzer, hereinafter referred to as "Claimant", was represented by Andrew Waldron, Esq. and A. Daniel Woska, Esq., Woska & Hayes, LLP, Oklahoma Cit

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE; 03-08646 Ted S, Barton, Claimant v. E*Trade Securities, LLC, Respondent ATTORNEYS: Claimant Ted S. Barton ("Claimant") appeared pro se, San Diego, CA. For Respondent E*Trade Securities, LLC ("Respondent") appeared John Bersin, Esq., E*Tiad« Securities, LLC, Rancho Cordova, CA- NATURE OF DISPUTE: Customer vs. Member. DATE FILED: December 9,2003. CASE SUMMARY: Claimant alleged that Respon

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant 03-08643 Chicago, Illinois Name of Respondents UBS Financial Services Inc. John Cioffi, and Richard P. Giordano Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Douglas Rallo ("Claimant") was represented by Leslie A. Blau, Esq., Blau & Bonavich, Chicago, Illinois. UBS Financial Services Inc

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James P. Smith and Donna L. Smith, Individually and as the owner of the James P. Smith IRA I and the James P. Smith IRA Hy and 03-08642 Nashville, Tennessee Name of Respondents J.J.B. Milliard, W.L.Lyons, Inc. Phillip G. Magdich Deanna K. Magdich Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIE

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Larry J. and Levonne S, Wiencek and Case Number: 03-08641 Hearing Site: Chicago, Illinois Names of Respondents Quick and Reilly, Inc. and Michael Gerard Pendergast NATURE OF CASE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Larry J. and Levonne S. Wiencek ("Claimants") were represented by Howard B. Prossnitz,

In the Matter of the Arbitration Between: Name of the Claimant Donald L Haupt Name of the Respondent U.S. Bancorp Investments, Inc. Case Number 03-08640 Hearing Site! St. Louis, Missouri Customer vs. Member Firm RFPPFRFMTATinM OF Steven W. Koslovsky, Esq., located in Maryland Heights, Missouri represented Claimant, Donald L. Haupt ("Haupt"), hereinafter referred to as "Claimant." Sherri C. Strand, Esq. of the law firm Thompson Coburn, locate

Award NASD Dispute Resolution I In the Matter of the Arbitration Between: Binnie Gun (Claimant) v. Morgan Stanley DW, Inc. and Scott Svirsky (Respondents) Case Number: 03-08636 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Binnie Gun ("Gun") hereinafter referred to as "Claimant": John S. Chapman, Esq., John S. Chapman, Esq., Ltd., Cleveland, OH. Respondents Morg

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary Higgins Clark (Claimant) v. Michael John Zahn, Roy Daniel Budd, and Citigroup Global Markets, Inc., (Respondents) Case Number: 03-08635 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer v. Associated Persons and Member REPRESENTATION OF PARTIES Claimant Mary Higgins Clark hereinafter referred to as "Claimant": Michael C. Deutsch, Esq., Singer Deuts