Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 02-01995 James R. Albrecht, IRA Debra E. Albrecht, IRA James and Debra Albrecht Sean C. Scalise Jennifer L. Scalise and Jennifer L. Scalise, as Custodian for minors, Blake Alan Scalise and Brooke Lauren Scalise Name of the Respondents Hearing Site: St. Louis, Missouri Stifel, Nicolaus & Company, Inc. and J. Randall Gibbs

Kf.A.S.D. AWARD NATIOlOkL ASSOCIATION OF SBCORITIBS DBALSRS In the Matter of the Arbitration Between Name of Claimantpa Joseph Cusumano and Mary Ann Cook 93-03285 Name of Reflpopidf^ntfl Smith Bamey Shear son. Inc., fonnerly known as Shearson Lehman Brothers, Inc ; Jeffrey Alan Holtz MtPRgflBHTATIOy For Claimants: Joseph Cusumano ("Cusumano") and Mary Ann Cook ("Cook") were represented by Edward W. Russey. Ill, Esq., of Investors Arbitration

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Gene Vogt and Names of Respondents RBC Dain Rauscher, Inc., Raymond James & Associates, Inc., Laura L. Ehrenberg-Chesler and Crossvault Capital Management, LLC Case Number: 03-07076 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firms, Associated Person and Non-Member Firm REPRESENTATION OF PARTIES Gene Vo

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Amr Ibrahim Elgindy, Claimant, V. No. 95-02492 Bear Steams & Company, Inc., Steve Dantus, Vincent Dicks, Scott Fertig, Matt Pickett, Stephen Straty, and Dan Wilhite, Respondents. REPRESENTATION OF PARTIES Claimant Amr Ibrahim Elgindy was represented by H. Douglas Powell, Esquire of Plantation, FL. and Arnold Y. Steinberg, Esquire of Investors

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Mohammad Athari, M.D., Individually and as Custodian of the Accounts of His Children and Names of Respondents UBS Financial Services, Inc., Ahmad Fakhr, and Ali Fahr Case Number: 03-07075 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Mohammad Athari

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant ABN Amro, Inc. Name of the Respondent Success Trade Securities, Inc. ) ) Case Number 03-07074 ) Hearing Site: Chicago, Illinois ) Member Firm vs. Member Firm RFPPFSPMTATinM HF PARTIFS Stephen P. Bedell, Esq., formerly of the law firm Gardner Carton & Douglas, LLP, located in Chicago, Illinois, now currently with the law firm of Foley

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Kenneth Palmer and Ruth Palmer No. 03-07073 Phoenix, Arizona Claimants, And Salomon Smith Barney Inc., n/k/a Citigroup Global Markets, Inc., Ed Koven and S. Douglas Cornell Respondents Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Kenneth Palmer and Ruth Palmer ("Claimants") were represented by Michael Urman, Es

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Kevin Van Wart and Ellen Van Wart jointly and individually for their IRAs Kelsey Van Wart Custodial Account, Cristina Van Wart Custodial Account, Eric Van Wart Custodial Account and Kevin Van Wart, Custodian and 03-07072 Chicago, Illinois Name of Respondents Menill Lynch, Pierce, Fenner & Smith, Inc. and Scott M, Hoeppel Nature of

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant E*Trade Securities, LLC v. 03-07059 Minneapolis, Minnesota Respondents Southwest Securities, Inc. and S. Kris Bandal and Cross-Claimant Southwest Securities, Inc. v. Cross-Respondent S. Kris Bandal Nature of Dispute: Member v. Member and Associated Person and Member v. Associated Person REPRESENTATION OF PARTIES E*Trade Securities, LLC ("C

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07058 Alexander Alsoufiev, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Alexander Alsoufiev, ("Claimant"), appeared Michael L. Lyons, Esq., of the Law Offices of Michael L. Lyons, Esq., Clayton, MO. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared John Kelly, Esq., of the firm McCarter & English LLP, Newark, NJ