New York Stock Exchange In the Matter of Arbitration Between NYSE Case: aarence A. Wiggers and Ann Wiggers v. Morgan Stanley OW Inc.. a/k/a Morgan Stanley Dean Witter, a/kJa Morgan Stanley & ca, Incorporated and George Lemuel Divel, IN Attorneys: For Claimant(s): Mark M. Dumler Esq. - Baltimore, MD For Respondents)-. Howard M. Sendrovilz Esq. - New York, NY Date Filed: 06/24/2002 First Sctieduied: 07/29/2003 Dedded: 09/08/2003 Ca

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Julius Feinblum, Linda Feinblum, the Julius Feinblum IRA, and the Linda Feinblum IRA, (Claimants) vs. Merrill Lynch Pierce Fenner & Smith Inc., Daniel J. Madonia, and Michael L. Lombardi, (Respondents) Case Number: 01-05965 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Julius Feinblum ("Mr. Feinblum"), Linda Feinblum ("Ms. Feinblum"), the Julius Feinblum

Award NASD In the Matter of the Arbitration Between; Raymond E. Fredrick, Jr., Individually, and as trustee of the Raymond E. Fredrick, Jr. Trust, dated 9/12/88, and Marilyn P. Fredrick, Individually, and as trustee of the Marilyn P. Fredrick Trust dated 9/12/88, Claimants v. Prudential Securities Incorporated and Morgan Stanley DW, Inc., Respondents Case Number: 01-05958 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Raymond E. Fre

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Adam Westervelt, (Claimant) vs. Waterhouse Securities (Respondent). Case Number:00-1436 Hearing Site: Dallas. Texas BEPBESENTAIIQM-QF PARTIES Claimant, Adam Westervelt, ("Claimant"): represented himself. Respondent, Waterhouse Securities ("Respondent"): Janis Campanella, Esq., in house counsel at Waterhouse Securities, New York, New York. CASE INFORMATION Statement of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf thp. Claimants Case Number 01-05951 Albert T. Gamer } Joan L. Garner Names f»f thp Kffsprmrip.nts_ Hearing Site; Pittsburgh, PA Gruntal & Co., L.L.C. Michael Ralph Miller RFPRFSFNTATTON OF PARTTFS Claimants Albert T. Garner and Joan L. Gamer, hereinafter collectively referred to as "Claimants", were represented by Robert M. Kramer, Esq., Pittsburgh, Pennsylvania

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ]STamp r>f foe Plaimarfl Pflgfi Nnmhfti- 01-05945 Alfred Lorch Gibraltar Securities Co. Reynold David Musell Sjffv Philadelphia, PA Claimant, Alfred Lorch ("Lorch"), hereinafter referred to as "Claimant": Chad N. Cagan, Esq., Sonnenblick, Parker & Servers, Freehold, NJ. Respondents, Gibraltar Securities Co. n/k/a RBC Dain Rauscher, Inc. ("Gibraltar") and Reynold David Mu

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Nameofaaimant Monte M. Kom and NASD Case Number: 95-05403 Name of Respondent Hamilton Investments, Inc. f/k/a The Illinois Company Investments, Inc. REPRESENTATION OF PARTIES Claimant Monte M. Kom ("Qaimant") was represented by Richard B. Tomlinson, Esq. of Driggers, Schultz, Heibst & Paterson located in Troy, Miclugan. Respondent Ham

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-05943 Michael J. Mooney as Trustee to the Michael J. Mooney IRA Name of the Respondents Hearing Site: Chicago, Illinois Edward D. Jones & Co. and Mark K. Sharp REPRESENTATION OF PARTIES Claimant Michael J. Mooney as Trustee to the Michael J. Mooney IRA ("Mooney"): Stuart R. Berkowitz, Esq. of the firm Platke & Berkowitz, LLP located

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: THOMAS C. McTAGGART AND MARGARET McTAGGART. Claimants, V. VESTAX SECURITIES CORPORATION, MARINER FLNANCIAL SERVICES. INC., TIMOTHY LYNN FORD. KENNETH D. WARNICK. ROBERT BOONE, DENNIS BROWN. WILUAM GREGG, CLARK F. COLTON. and J. WILL PAULL, Respondents. Case Number: 99-5362 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-05937 Yvonne Pittman, claimant vs. Marion Bass Securities, Corp., and Jon Fox, respondents. ATTORNEYS: For Claimant appeared Stephen T. Kennedy, Esq., Atlanta, GA. For Respondent Marion Bass Securities, Corp., appeared Robert H. McKnight, P.C., of the firm Freed & Berman, P.C., Atlanta, GA. For Respondent Jon Fox appeared John B. Morris, Esq., of the firm Kilpatrick Stockton LLP, Winston