N.A.S.D. AWARD NATIONAL ASSOCIATION OF SEOOSinES DEALERS In the Matter of the Arbitration Between ' Olenn A. Donnell Case No. 97-03512 Name of Respondent Argus Securities, Inc. Name of Third Party Raspondi^nt Merrill Lynch Pierce Fenner & Smith, Inc. gEPRESENTATTflA^ For Claimant: Robert B. Cough. HI of the firm of Hill, Ward & Henderson, P.A.. Tampa, Florida. For Respondeat: .Albert B. I^is, Esq. of die law fum of Piper, Esteva, Green, Kaivo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-07556 The Estate of Anna D. Henry Names of the Respondents Hearing Site: Memphis, TN Wunderlich Securities, Inc. Wunderlich Capital Management, LLC Philip S. Wunderlich Philip R. Zanone Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For The Estate of Anna D. Henry ("ADH"),

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-07555 Mary Lou Donohue Names of the Respondents Hearing Site: Boca Raton, Florida Smith Barney, a division of Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Jeffrey Randall Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mary Lou Donohue, hereinafter referred to as

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Charles Ehlen and 00-0155.1 Minneapolis, Minnesota Name of Respondents R.D. White & Company, Inc. Carltori Fletcher OF PARTIS Charles Ehlen ("Claimant") appearedpro se. R.D. White & Company, Inc. ("Respondent R.D. White") did not participate in this matter. Carlton Fletcher ("Respondent Fletcher") appeared at the hearing pro se. CASE

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Claimant Raymond James Financial Services Inc. vs. Respondent John Crawford Case Number: 03-07551 SITUS: Raleigh, North Carolina NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES: Claimant Raymond James Financial Services, Inc., hereinafter referred to as "Claimant", was represented by Leslie A. Reese, Esq., Raymond James Financial Services, Inc., St. Pete

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc., Claimant v. Richard C. Gomez, Respondent Case Number: 03-07549 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Brian D. Todd, Esq. Hillis Clark Martin & Peterson, P.S. Seattle, Washington For Respondent: In Propria Persona CASE INFORMATION Statement of Clai

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Benjamin Mandel, Claimant v. Round Hill Securities, Inc. and Stanley Mok, Respondents Case Number: 03-07545 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Novato, California For Respondents: Andrew M. Zack, Esq. Munro & Zack Troy, Michigan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 03-07538 Carroll and Shirley Gartrell Name of the Respondents Hearing Site: Kansas City, Missouri First Financial Advisors, Inc., Carla Lea Chastain, and Tommy Lee Ruff NATURE OF THE DISPUTE Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Diane A. Nygaard, Esq., of the Nygaard Law Firm, located in Kansas City,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Philip R. Bissey and Sharon R. Bissey, TTEES and Names of Respondents Raymond James Financial Services, Inc., and Michael P. Mazzei Case Number: 03-07537 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Philip R. Bissey and Sharon R. Bissey, TTEES ("Claimants")

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Counterclaim Respondent Stifel, Nicolaus & Company, Incorporated and 03-07535 Chicago, Illinois Name of Respondent Counterclaim Claimant Rick Lidisky Nature of the Dispute: Member vs. Customer REPRESENTATION OF PARTIES Stifel, Nicolaus & Company, Incorporated ("Stifel") or ("Claimant Counterclaim Respondent"), was represented by Kelly Karase Philla, E