Award NASD Dispute Resolution Ip the Matter of the Arbitration Between: Michael Giardino, Claimant v. A.G. Edwards & Sons, Inc., Respondent Case Number: 03-08546 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Mark T. Hiraide, Esq. Petillon & Hansen Torrance, California For Respondent: James C. Browning, Jr., Esq. A.G. Edwards & Sons, Inc. St. Louis, Missouri CAS

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Allan Goolsby and Jessie Goolsby vs. Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., and Timothy Revell Roberson Case Number: 03-08544 Hearing Site: Nashville, Tennessee NATURE OF CASE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Allan Goolsby and Jessie Goolsby ("Claimants") were repres

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Case Number: 03-08537 Sidney E. Walker Names of the Respondents Hearing Site: New Orleans, LA American General Securities Incorporated Hartford Equity Sales Company Incorporated Hartford Securities Distribution Company, Incorporated Leroy Jack Smith Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03102 William H. Durham, M.D. Names of the Respondents Hearing Site: New Orleans, Louisiana Merrill Lynch Pierce, Fenner & Smith, Inc. Henry Blodget Justin Baldauf Kirsten Campbell Virginia Syer Genereux Sofia Ghachem Edward McCabe Deepak Raj Phua K. Young Fund Asset Management, L.P. Nature of the Dispute

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the. P.laimnnt Cam Number 03-08533 Emmett A. Larkin Company, Inc. Name of the Respondents Hearing Site- Pittsburgh, PA Chris A. Vukich Arthur Andrew Toth, IE Nature of the Dispute: Member vs. Associated Persons RF.PRF.SIT.NTATTON OF PAKTTF.S Claimant, Emmett A. Larkin Company, Inc., hereinafter referred to as "Claimant", was represented by Bruce C. Fox, Esq., Obe

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank Lundquist, IRA, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., RBC Dain Rauscher Inc. f/k/a Sutro & Co. and Lawrence R. Marina, Jr., Respondents Case Number: 03-08532 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondent Merrill Lynch, Pierce, Fenner &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services Inc., Claimant v. David L. Broderick, Respondent David L. Broderick, Counter-Claimant v. UBS Financial Services Inc., Counter-Respondent Case Number: 03-08529 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Member v. Associated Person Associated Person v. Member For Claimant/Counter-Respondent: Sandra Grannum, Esq. Davidson & Grannum, LLP Ora

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dennis Ray Johnson, n (Claimant) v. Ferris, Baker Watts, Inc. and David Miller (Respondents) Case Number: 03-08524 Hearing Site: Columbus, Ohio Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Dennis Ray Johnson, II ("Johnson") hereinafter referred to as "Claimant": J. William St. Clair, Esq., St. Clair & Levine, Huntington, WV.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marianne Held (Claimant) v. Citigroup Global Markets, Inc. and Walter Joseph Roderer, Jr. (Respondents) Case Number: 03-08523 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Marianne Heid ("Heid") hereinafter referred to as "Claimant" appeared pro se. Respondents Citigroup Global Markets, Inc

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard J. and Jill A. Summerlot (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Inc., Jason C. DiLauro, and James M. Woods (Respondents) Case Number: 03-08521 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Richard J. and Jill A. Summerlot ("Summerlot") hereinafter referred to as "C