Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Diane Gordon v. Names of Respondents Main Street Management Company and Mark McKenna Little Case Number: 03-07450 Hearing Location: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Diane Gordon ("Claimant") was represented by Stewart J. Alexander, Esq., The Law Offices of

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case Number 03-07439 Sidney and Rita S. Rosenthal, Sidney Rosenthal, Trustee Under the Will of Nathan Rosenthal Names nf the Respondents Hearing Site! Philadelphia, PA Merrill Lynch & Co., Inc., Merrill Lynch, Pierce, Fenner & Smith, Inc., Jay C. Siem, and Alane Siem Nature of the Dispute: Customers vs. Non-Member, Member, and Associ

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07436 Huu-Tam Tran, Claimant v. Charles Schwab & Co., Inc., Respondent. ATTORNEYS: Claimant, Huu-Tam Tran, ("Claimant"), appeared pro se, Broadstairs, Kent, UK. Respondent, Charles Schwab & Co., Inc., ("Respondent"), appeared through their in-house counsel, Garrett R. Wynne, Esq., of San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 15, 2003 CASE SUMMARY: C

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant The Bertha Round Lifetime Trust dated September 1,1994, by its Trustee, Kenneth Palmer and 03-07428 Phoenix, Arizona Name of Respondents Salomon Smith Barney Inc. n/k/a Citigroup Global Markets, Inc. S. Douglas Cornell EdKoven Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES The Bertha Rou

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant/Counter respondent Wachovia Securities, LLC Name of the Respondent/Counter claimant Vincent J. Masucci Case Number: 03-07426 Hearing Site: Chicago, Illinois NATURE QF THE DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Diane C. Fischer, Esq., of the firm Kane & Fischer, Ltd., located in Chicago, Illinois, represented Claima

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant Mark Saigh V. Name of Respondent Dickinson & Co., Inc. NASD Arbitration No. 95-05145 For Claimant: For Respondent: REPRESENTATION Paul W. Thomas, Esq. Carlsbad, California Barbara Bennett, Esq. Dickinson & Co., Inc. Des Moines, Iowa CASE INFORMATION Statement of Claim filed: Claimant's Submi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07425 Alice and Thomas H. McMillan, Claimant v. Park Capital Securities, Anthony J. Orlando, Jr., and Phillip B. Blackwell, Respondents ATTORNEYS: For Claimants, Alice and Thomas H. McMillan, ("Claimants"), appeared Michael S. Marr, Esq., of the firm Miller Paragas & Marr, P.L.L.C., Charlotte, NC. For Respondents, Park Capital Securities and Anthony J. Orlando, Jr., appeared Michael H. F

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between nf Plaimant R. David Allen, as Trustee for the Alma and Fannie Baird Scholarship Trust, Trustee for the Baird Foundation, and Trustee for the Hamblen Museum of Glass and Antiques Case No. 00-01539 Name of Respondent Aintree Capital, a Division of Wiley Brothers-Aintree Capital LL; and Wiley Brothers-Aintree Capital LLC Hearing .Site: Nashville, Tennessee ttF.PHF

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of th< ? Claimant Robert W. Tennant Name of the Respondent UBS Financial Services, Inc. Case Number: 03-07423 Hearing Site: Indianapolis, Indiana M ATI IPF OF Customer vs. Member Firm Mark E. Maddox, Esq. of the law firm Maddox Hargett & Caruso, P.C. located in Fishers, Indiana represented Claimant, Robert W. Tennant ("Tennant"), hereinafter referred to a

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Ollie R. Cornell, Cornell Living Trust, and Elizabeth A. Cornell and Respondents Bentley-Lawrence Securities, Inc., and Thomas Boaks, II Case Number: 03-07422 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Ollie R. Cornell, Cornell Living Trust, and Elizabeth A. Cornel