Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tien Truong, Claimant v. Providential Securities, Inc., Choice Investments, Inc., Southwest Securities, Inc., Mark Alan Wright and Hung Huu Nguyen, Respondents Case Number: 00-01612 Hearing Site: Port!and, Oregon REPRESENTATION OF PARTIES For Claimant: Robert S. Banks, Jr., Esq. Banks & Underbill, PC Portland, Oregon For Respondents Providential Securities, Inc. an

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-08008 Lillian L. Kaynes, individually and as Trustee Names of the Respondents Hearing Site: Boca Raton, Florida PaineWebber, Inc. and Charles L. Verner Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lillian L. Kaynes, individually and as Trustee, hereinafter referred to as "Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Miimhar 03-08006 Holidae H. Hayes Narnp; of thft Rp^pnnHent Hearing Site! Washington, DC Alliance Capital Management, L.P. Nature of the Dispute: Associated Person vs. Non-Member REPRESENTATION OP PARTTFS Claimant, Holidae H. Hayes "Claimant", was represented by John M. Fedders, Esq., Attorney at Law, Washington, DC. Respondent, Alliance Capital Management,

i * NASD DISPUTE RESOLUTION AWARD ?tf ASp mSPIJTE RESOLUTION CASE: 03-08002 Harold Roberts, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Harold Roberts, ("Claimant"), appeared Win. Jemison Mims, Jr., Esq M of the firm Levin, Papantonio, Thomas, Mitchell, Echsner, & Proctor, P.A., Pensacola, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared A. Inge Selden

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Henry D. Brown, Case Number: 03-08001 Claimant, vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Hearing Site: Dallas, Texas Sandra W. MacDowell Respondents. NATURE OF CASE Customer versus Member Firm and an Associated Person. REPRESENTATION OF PARTIES Claimant Henry D. Brown ("Claimant"): Rick Wright of The Zisman Law Firm, 1412 Main Street, Da

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James L. Purdy, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Merrill Lynch, Pierce, Fenner & Smith Incorporated, Counter-Claimant v. James L. Purdy, Counter -Respondent Case Number: 03-07997 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Associated Person v. Member Member v. Associated Person REPRESENTATION OF PARTIES For Claimant/Cou

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Veronica Nicholas, Claimant v. Fox & Company Investments Inc. and Sean B. Melroe, Respondents Case Number: 03-07996 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant Veronica Nicholas: For Respondents Fox & Company Investments Inc. and Sean B. Melroe: Paul W. Thomas, Esq. L

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-07991 Roberta M. Endres / Names of the Respondents Hearing Site: Boca Raton, FL Merrill Lynch, Pierce, Fenner & Smith, Inc. Joseph B. Yu Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Roberta M. Endres ("Endres"), hereinafter referred to as "Claimant": Frederick C. Kramer,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Rex L. Gregory, IRA Rex L. Gregory and Judith W. Gregory, JT WROS Name of the Respondent A.G. Edwards and Sons, Inc. Case Number: 03-07989 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Rex L. Gregory, IRA ("Gregory IRA") and Rex L. Gregory and Judith W. Gregory, JT WROS ("Gregory

Stipulated Award 1VASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-07987 Carol Hofljman Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW Inc. Adrian Rowles Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Carol Hoffman ("Hoffman"), hereinafter referred to as "Claimant": Lonnie K. Martens, Esq., The Martens Law Firm