Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John and Marilyn Kosobucki Revocable Trust, John and Marilyn Kosobucki, As Trustees Claimants v. Morgan Stanley DW, Inc., Stuart K. Goldman, David C. Rozek, Matthew J. Howard, Jeffrey L Adams And Wendy Robinson, Respondents Case Number:- 03-07162 Hearing Site: Milwaukee, Wisconsin NATURE OF THE DISPUTE Customers vs. Member Firm and Associated Perso

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Thomas W. Linn, Claimant, V. No. 95-05448 Lutheran Brotherhood Securities Corp., Lutheran Brotherhood, Diemer Associates, Inc., and Mike Diemer, Respondents. REPRESENTATION OF PARTIES Claimant Thomas W. Linn was represented by Eric D. Satre of Connor & Satre located in Minneapolis, Minnesota. Respondents Lutheran Brotherhood Securities

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mary John Harrison 95-02368 Name of Respondents A.G. Edwards & Sons, Inc. James P. Vijande REPRESENTATION Claimant Mary John Harrison ("Claimant") appeared pro se. For Respondents A.G. Edwards & Sons, Inc. ("A.G. Edwards") and James P. Vijande ("Vijande"), appeared Catherine H. Johnson, Esq. of Edwards, located in St. Louis, Mis

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In die Matter of the ArbiU*ation Between Arthur B. Solberg Claimant, Smith Bamey Shearson, Inc. Respondent, 95-2355 REPRESENTATION OF PARTIES Claimant, Arthur B. Solberg, appeared pro se. Respondent, Smith Bamey Shearson, Inc., was represented by James S. Goddard, Esq., of Smith Bamey Shearson, Inc., New Yorlc, New Yoric. CASE INFORMATION The Statement of Claim was filed on or ab

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07159 L Scon Timnicr, Esq., Claimant v. Robert W. Baird & Co. Incorporated, Respondents ATTORNEYS: ~ " — — Claimant J. Scott Timmer, Esq., (''Claimant")* appeared Pro So, Grand Rapute, ML Respondents, Robert W. Baird & Co, Incojporatcd, (^Respondents*), appeared through their in- house counsel, Moira Moian, Esq., Milwaukee, WL NATURE OF DtSPUTE: Customer vs/Mcinbcr' ~ ~ ~

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-07155 Eddie R. Wimberly IRRA Names of the Respondents Hearing Site: Orlando, Florida Merrill Lynch, Pierce, Fenner & Smith, Incorporated Cherie Foutz Shelly Ferrone Bob Thwaites Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Eddie R. Wimberly IRRA, hereinafter referred to

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Evelyn M. Rigdon 96-00327 Name of Respondents Cowen & Company Roy Allen Webb Roger Chudde REPRESENTATION For claimant Evelyn M. Rigdon ("claimant") appeared Peter F. von Meister, Esq., of the law offices of Green & Green located in Dayton, Ohio. For respondents Cowen & Company ("Cowen") and Roger Chudde ("Chudde") appeared P

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James B. Tennill, Jr., Claimant vs. Advest, inc., Respondent. Case Number: 99-04541 Hearina Site: Louisville, Kentucky REPRESENTATIQN OF PARTIES Claimant, James B. Tennill, Jr. ("TenniH"), hereinafter referred to as "Ciaimanf, was represented by Robert J. Beale, Esquire, of Beale & Humphrey, P.S.C., Louisville, Kentucky. Respondent, Advest, Inc. ("Advest"), hereinafter

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' Name of Claimant Prudential Securities, Inc. n/k/a Prudential Equity Group, LLC and 03-07149 Nashville, Tennessee Name of Respondents John F. Connelly, Jr. Lee C. Vaughan IV , Merrill Lynch Pierce Fenner Smith, Inc. Nature of the Dispute: Member vs. Associated Persons and Member REPRESENTATION OF PARTIES Prudential Securities, Inc. n/k/a Prudential Equity Group,

NASD DISPUTE RESOLUTION, INC, CASE: 00-01520 Frank R, Angelozzi, claimant vs. Marianne Billek and Gil Kuta, respondents. Claimant appeared Pro Se, Owings Mills, MD. For Respondents appeared Theodore W. Urban, Esq., of the firm Ferris Baker Watts, Inc., ton, D.C. DATE FILED: April 11, 2000 CASE SUMMARY: Claimant alleged respondent Marianne Billek started trading stocks without claimant's authorization and also engaged in short sales for the benefit of Fe