Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jeff C. Davis vs. Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 03-07302 Hearing Site: Houston, Texas NATURE OF CASE Customer vs. Member Firm REPRESENTATION OF PARTIES Jeff C. Davis ("Claimant") was represented by Ronald H. Thrash, Esq., Shepherd, Smith & Edwards, LLP, Houston, Texas. Merrill Lynch

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward C. Mandock and Louise M. Mandock, Claimants v. Michael F. Medina and Morgan Stanley DW Inc., Respondents Case Number: 03-07301 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondent: David Liebrader, Esq. Law Offices of David Liebrader, APC Las Vegas, Nevada

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-07300 Billy D. Ryan Sara L. Ryan Names of the Respondents Hearing Site: Atlanta, Georgia Prudential Securities Timothy Brandon Lee Bradford L. Flowers Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Billy D. Ryan and Sara L. Ryan, hereinafter collectively referred to as "Claimants"

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Darlene Lunas, Claimant v. Morgan Stanley Dean Witter and Edward Evans, Respondents Case Number: 03-07296 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondents: Michael S. Lunas, Esq. Law Office of Michael S. Lunas Lakeport, California Eric G,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07293 Eric Donzella and Eric Donzella IRA, Claimant v. Merrill Lynch Pierce Fertner & Smith, Inc., Brent Jones, Wayne Rich, Respondents. ATTORNEYS: Claimant, Eric Donzella and Eric Donzella IRA, ("Claimant"), appeared pro se, Phoenix, AZ. For Respondents, Merrill Lynch Pierce Fenner & Smith, Inc., Brett Jones, and Wayne Rich, ("Respondents"), appeared Tara A. LaClair, Esq., of the firm Day E

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07284 Donald E. Keller IRA FBO Donald E. Keller, Donald E. Keller IRRA FBO Donald E. Keller, Donald E. Keller and Doris P. Keller JTWROS, Claimants v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimants, Donald E. Keller IRA FBO Donald E. Keller, Donald E. Keller IRRA FBO Donald E. Keller, and Doris P. Keller JTWROS, ("Claimants"), appeared Wm. Jemison Mims, J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald G. Drapkin (Claimant) v. Oppenheimer & Co., Inc. f7k/a Fahnestock & Co., Inc. and Gabriel Cerrone (Respondents) Case Number: 03-07283 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Donald G. Drapkin ("Drapkin") hereinafter referred to as "Claimant": Elkan Abramowitz, Esq., Morvillo, Abr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nfthp flaii-nanf Qse Number 03-07269 Raymond James & Associates, Inc. Name nf the Respondent Hparing Sitp- Philadelphia, PA Peter Shannon Nature of the Dispute: Member v. Associated Person. RF.PRFSFNTATTON OF PARTTF.S Claimant, Raymond James & Associates, Inc. ("Raymond James"), hereinafter referred to as "Claimant", was represented by Leslie A. Reese, Esq., Raymond James &

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-01524 Thomas C. Feild, Claimant vs. E*Trade Securities, Inc., Respondent. ATTORNEYS: Claimant appeared Pro Se, Gasburg, VA. For Respondent appeared Vernita Fairley, Esq., of the firm Bird, Marella, Boxer & Wolpert, P.C., Los Angeles, CA. DATE FILED: April 11, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to execute a trade order in a timely fashion. Claim Data

N/VTIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Edward Van Vliet and Susan Van Vliet Claimant Joint Tenants vs. Foster and Marshall, Shearson Lehman Respondents Brothers and Patrick West and Jeffrey Anderson Heard Before the Arbitration Panel: David G. Skeen, Esq. Prudence W. Baldwin Robert McCuHough On May 9, 1989 and May 10, 1989, the undersigned arbitrators heard the controversy betwee