Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward C. and Juanita F. Scowcroft, JTWROS and Juanita F. Scowcroft Trust dated 9/28/00, Claimants, v. McLaughlin, Piven, Vogel Securities, Inc. and Richard S. Nalbandian, Respondents. Case Number: 03-06042 Hearing Site: St. Louis, Missouri Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Edward C. and Juanita F. Scow

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anita Mollot, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Ralph R. Scott, Paul N. Marcus, and Sy R. Lippman, Respondents Case Number: 03-05944 Hearing She: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: William S. Bonnheim, Esq. William S. Bonnheim, PLC Palm Desert, Californ

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05809 Mary Ann Coppock, c/f Kacie Freer UTMA/CT, Claimant v. Michael Boyarsky and Felicia A. Klug, and Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondents ATTORNEYS: Claimant Mary Ann Coppock, c/f Kacie Freer UTMA/CT ("Claimant") appeared pro se, through Mary Ann Coppock, Wallingford, CT. For Respondents Michael Boyarsky and Felicia A. Klug, and Merrill Lynch, Pierce, Fenner & Smith

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Henry C. Chang, Claimant v. James Harold Goode, Jr., Respondent Case Number: 03-05741 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES For Claimant: Stephen S. Chang, Esq. Santa Ana, California For Respondent: James H. Goode, Jr. San Clemente, California CASE INFORMATION Statement of Claim filed: Augu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05640 Angelina A. Paczkowski Names nf the Respondents Hearing Site: Philadelphia. PA Fahnestock & Co., Inc. Josephthal & Co., Inc. Craig R. Lawler M&T Securities, Inc. Lorna S. Gessner Royal Alliance Associates, Inc. William J. Feudale, Jr. Nature of the Dispute: Customer vs. Members and Associated Persons RFPRF.SFNTATTON

• f Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia Griffey, Claimant, v. Citigroup Global Markets, Inc., Citigroup, Inc. and Michael E. Wilheim, Respondents. Case Number:- 03-05582 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member Firm, Non-Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant, Patricia Griffey ("Griffey"), hereinafter referred

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05453 John Polonchak, IRA, Claimant v. Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc., Respondent. ATTORNEYS: Claimant, John Polonchak, IRA, ("Claimant"), appeared pro se, San Jose, CA. Respondent, Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc., ("Respondent"), appeared through its in-house counsel, Judith M. Rosenberg, Esq., San Francisco, CA. NATURE OF DISPUTE: Cust

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05315 William and Judith Rebholz, Claimants v. A.G. Edwards & Sons, Inc. and Christine J. Stoverink, Respondent. ATTORNEYS: Claimants, William and Judith Rebholz, ("Claimants"), appeared pro se, Waterloo, IL. For Respondents, A.G. Edwards & Sons, Inc. and Christine J. Stoverink, ("Respondents"), appeared James C. Browning, Esq., Jr., St. Louis, MO. NATURE OF DISPUTE: Customers v. Member

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Arthur Michael Pagnotta and Raymond Morton, Claimants v. Mutual Securities, Inc., Respondent Case Number: 01-03094 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants / Counter-Respondents: H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles, California For Respondent / Counter-Claimant: Carl J. Carlson, Esq. Carlson & Fabish, P.S. Seatt

I ,.•;* , NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05136 Prime Charter Ltd., Claimant v. Wayne S. Hemans, Respondent. ATTORNEYS: Claimant, Prime Charter Ltd., ("Claimant"), appeared through their in-house counsel, Evelyn Bukchin, Esq., New York, NY. Respondent, Wayne S. Hemans, ("Respondent"), did not respond to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 14, 2003 CASE