Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robin H. Balsam as Successor Personal Representative of the Estate of Edward Lyles, Claimant v. Per D. Lindstedt and Prudential Equity Group, LLC, Respondents Case Number: 03-07883 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Bernard McNallen, Esq. Balsam McNallen LLP Taco

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Virginia L. Crandall, Claimant v. Wachovia Securities, LLC and Steven W. Williams, Respondents Case Number: 03-07876 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Peter K. Richardson, Esq. Michael Best & Friedrich LLP Milwaukee, Wisconsin For Respondents: Andrew Park,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant UBS Financial Services, Inc. and Case Number: 03-07875 Hearing Site: Houston, Texas Name of Respondent Larry E. Barker NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimant" or "UBS") was represented by Brent A. Burns, Esq., Davidson & Grannum, LLP, Northvale, New Jersey.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Gary G. Greenlees and Names of Respondents Morgan Stanley DW, Inc., and Jason J. Chirogianis Case Number: 03-07874 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Gary G. Greenlees ("Claimant") was represented by Jeff Dennis Ferentz, Esq., Law Offices of Jeff Ferentz, I

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between, Thomas Myron Burnett and Virginialee M. Burnett JTWROS v. PaineWebber, Inc. and Ramon Scott Bowers Case Number: 00-01593 : •! :; ^'L"\- " - > \ Hearing Site: Houston, Texas 0 REPRESENTATION OF PARTIES Claimant Thomas Myron Burnet and Virginialee M. Burnett, hereinafter collectively referred to as Claimants: Represented by Ronald Cohen, Houston, Texas Respondent

Stipulated Award NASD Dispute Resolution In the Matter, of the Arbitration Between: ' , Rich Anderson, Javad Azimpoor, Barton Sand and Gravel, Barton (Trust), Brandon Barton, Sherry Barton, Tom Barton, Charles Brown, Tom Connelly, John Evans, Jeanne Evans, Kelly Faloon, Margaret Galvin, Ahron Glambosky, Fred Golub, Ronald Griepenburg, MarySue Griepenburg, Carl Jansen, Carol Jansen, Cheryl Jansen, David Jansen, Ann Jansen, Brian Muldowney, A.W. Rose, Dr. Mar

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-07860 Sidney Kean, individually, and on behalf of Arleen L. Sawyer and Sidney Kean, Co-TTEES FBO Sidney Kean Revocable Living Trust UAD Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Betty Sonne-Shan f/k/a Betty Sonne, an individual Nature of

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07854 Glenn E. Tagatz, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Glenn E. Tagatz, ("Claimant"), appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin Papantonio Thomas Mitchell Echsner & Proctor, P.A., Pensacola, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared Julie L. Wilson, Esq., of the firm Maynar

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07853 Ronald R. Markby, IRA, Claimant v. Sharon K. Scott, Respondent. ATTORNEYS: Claimant, Ronald R. Markby, IRA, ("Claimant"), appeared pro se, Sun Lakes, AZ. For Respondent, Sharon K. Scott, ("Respondent"), appeared in-house counsel of Merrill Lynch Pierce Fenner & Smith, Inc., the member firm with which she was associated at the time of the dispute, Craig A. Vollono, New York, NY. NAT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeffrey S. Kryvicky (Claimant) vs. Morgan Stanley Dean Witter and Jack Watson (Respondents) Case Number: 03-07845 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Jeffrey S. Kryvicky ("Claimant"): Marc B. Conn, Esq., McCarthy, Lebit, Crystal & Liffman Co., L.P.A, Cleveland, OH. Respondents Morgan St