Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thierry Jean Coulon v. Wells Fargo Securities, Jay L. Rogers and Mark T. Duvall Case Number: 01-05818 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Daniel J. Quisenberry, Esq. Nevers, Palazzo, i Maddux & Packard \ Westlake Village, California For Respondents: Robert T. Sullwold, Esq. Sullwood & Hughes San Francisco, California CASE

s. NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-05812 Raymond James & Associates, Inc., claimant vs. George A. Murphy, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Deborah J. Howard, Esq., St. Petersburg, FL. Respondent did not submit a response to the Statement of Claim. DATE FILED: October 30, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay a forgivable loan in accordance with the terms

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thr H*"™*" 1 * ragp Nnmhpr- 01-05807 Hoosier Siding & Construction, Inc. Name of tlifr R? s p n r^^nt ^4pan'pg Ssitp- Indianapolis, Indiana Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRFSFNTATTON OFPARTTFS Claimant Hoosier Siding & Construction, Inc., hereinafter referred to as "Claimant": Paul D. Hash, Esq., located in Elkhart, Indiana

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Qian Wang, Claimant v. Salomon Smith Barney, Respondent Case Number: 01-05798 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: Qian Wang In Propera Persona Fremont, California For Respondent/Counter-Clairnant: Robert Chaykin Jason Norrish Salomon Smith Barney Santa Clara, California CASE INFORMATION Statement

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Marc McDaniel and Marcel Magruder and 01-05796 Dallas, Texas Name of Respondents Edward D. Jones & Company Michael L. Bates EDJ Holding Company, Inc. REPRESENTATION OF PARTIES Marc McDaniel and Marcel Magruder ("Claimants") were represented by Stuart M. Reynolds, Jr., Esq., of Winstead, Sechrest & Minick, P.C., Dallas, Texas. Edward D. Jones

Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Names of the Claimants Case Number: 00-01426 William Trathen Joan Trathen Names of the Respondents Hearing Site: Memphis, TN Raymond James Financial Services, Inc. Paul Hoeper Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES For William Trathen and Joan Trathen, hereinafter collectively referred to as "Claimants": Marcus W. Tra

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Lynn Refer vs. CaseNumt)er: 04-07932 l-tearing Site: Chicago, Illinois Names of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smitii Barney. Jack B. Goibman. MIciiael J. Grace, John B. Hoffman. Ptiillp L. Spartis. and David H. Trautenberg MATURE OF THE DISPUTC Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of tbe Arbitration Between ^ipiepfflftinfffflg Lothar and Lotte Aron 95-02976 NameofResnondents Nationsbanc Securities, Inc. f/k/a Citizens & Southern Securities Daniel L. Schultz REPRESENTATION For Claimaiits, Lothar and Lotte Aron: Allan J. Fedor, Esq. and Franeil Fedor, Esq. of Fedor & Fedor, of Largo, Florida. For Respondents, NationsBanc Securities, Inc. and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS [n the Matter of the Arbitration Between Name of Claimant Margaret P. Downey. Individually and as trustee FBO Brian E. Downey DTD 6/4/93 95-02973 Name of Respondent Dean Witter Reynolds. Inc. Clainumt Margaret P. Downey, Individually and as trustee FBO Brian E. Downey DTD 6/4/93 ("Claimant") was represented by Jonathan H. Colman, Esq., Paoli. PA. Respondent Dean Witter Reynolds. Inc.

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Leah D. Blum, individually and as Trustee Under Agreement dated 08/23/92 95-05401 Merrill Lynch Pierce Fenner & Smith Inc. Karen L. McKinley REPRESENTATION For Claimant, Leah D. Blum. Individually and as Trustee CQaimant"): James E. Gray, Esq. and Lisa V. Gianneschi. Esq. of the law firm of Goodell, DeVries,