Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Pliskin, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Daniel A. Fuller, Respondents Case Number: 03-06336 Hearing She: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Carol A. Gefis, Esq. Oswald & Yap Irvine, California For Respondents: Eric J. Glassman

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06329 Raymon Williams Names of the Respondents Hearing Site: New Orleans, LA Trustmark Financial Services John Q. Bolls Thomas Howard Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Raymon Williams, hereinafter referred to as "Claimant": Maureen G. Cajoux, Esq., Hooper & W

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06327 James R. Shafer Names of the Respondents Hearing Site: Orlando, Florida Morgan Stanley Dean Witter, Inc. James D. Jemison Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For James R. Shafer, hereinafter referred to as "Claimant": James Richard Hooper, Esq., Hooper & Weiss, L

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06325 Arthur Birnbaum, IRA Names of the Respondents Hearing Site: Boca Raton, Florida Ralph R. Goldman UBS Financial Services, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Arthur Birnbaum, IRA, hereinafter referred to as "Claimant": Eduardo Rodriguez, Esq., Hooper & Weiss,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Norma A. Kula, Trustee Leon D. Kula Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Robert Bos Case Number: 03-06322 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Norma A. Kula, Trustee ("N. Kula"), and Leon D. Kula ("L. Kula"

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06321 Harold P. Giaser IRA Harold P. Giaser Roth IRA Joyce A. Giaser IRA Harold P. Giaser and Joyce A. Giaser JTWROS Names of the Respondents Hearing Site: Orlando, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. James Potter Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTI

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant . Case Number: 03-06320 Rhoda Stern Names of the Respondents Hearing Site: Boca Raton, Florida A. G. Edwards & Sons, Inc. Irene J. Barouh Alan Neal Weiner Stacey B. Hammer Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Rhoda Stern, hereinafter referred to as "Claimant ": Eduardo A. Rodri

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Salomon E. Melgen, M.D. Case No. 01-01659 Hearing Site: Boca Raton, Florida Name of Respondent Salomon Smith Barney, Inc. REPRESENTATION OF PARTIES For Salomon E. Melgen, M.D. ("Melgen") hereinafter referred to as "Claimant": Adam S. Doner, Esq., Gordon & Doner, P.A., Palm Beach Gardens, Florida. For Salomon Smith Barney, Inc. ("SSB") hereinafte

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06319 Dr. Howard E. Zucker Dr. Howard E. Zucker, IRA Names of the Respondents Hearing Site: Tampa, Florida Prudential Securities, Incorporated Michael Sandberg Lawrence Margolin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Dr. Howard E. Zucker and Dr. Howard E. Zucker,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06316 Charlotte Levine Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Daren W. Pingleton Peter H. Silcox Jennifer A. Payne Albert Wester Nancy J. Katz Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Charlotte