NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06298 Danny C. and Tracy A. Meyers, Claimants v. J. Preston Covington and Wachovia Securities, LLC, Respondents. ATTORNEYS: Claimants, Danny C. and Tracy A. Meyers, ("Claimants"), appeared pro se, Danny C. Meyers, Columbia, SC. Respondents, J. Preston Covington and Wachovia Securities, LLC, ("Respondents"), appeared through their in-house counsel, Todd Ratner, Esq., Richmond, VA. NAT

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Alva L. Barry as Trustee of the Alva Barry Revocable Living Trust Names of the Respondents Sands Bros. & Co., Ltd. Ralph Johnson Chris Braccia Jason Russo Case Number: 03-06297 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Alva L. Barry as T

Award NASD Dispute Resolution In the Matter of the Arbitration Between: GunnAllen Financial, Inc. (Claimant) v. Mohammed Khalid (Respondent) Case Number: 03-06291 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant GunnAllen Financial, Inc. ("GunnAllen") hereinafter referred to as "Claimant": Jay Marc Israel, Esq., GunnAllen Financial, Inc., Hauppage, NY. Respondent Mohammed Khalid

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas R. Ryan, Claimant v, Ned Michael Shanahan, Bridget Marie Burgess, and SAFECO Investment Services, Inc., Respondents Case Number: 03-06284 Hearing Site: Seattle, Washington Nature of Dispute: Associated Person v. Associated Persons and Member Firm REPRESENTATION OF PARTIES For Claimant: G. Thomas Ryan, Esq. Law Offices of G. Thomas Ryan Puyallup, Washington For Res

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lorraine M. Dorsey Trust U/A dtd 1/22/88 and Grace M. Wallace, Claimants v. Merrill Lynch, Pierce, Fenner, & Smith, Inc., Respondent Case Number: 03-06283 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Ryan K. Bakhtiari, Esq. Orousha Brocious, Esq. Aidikoff & Uhl Beverly Hills, California For

09/28/2004 16:54 FAX, 202 639 6604 VINSON & ELKIN ™ y3/*o/iiUU4 iliO*T-AX • Z02 728 8082 NASD DISPUTE RESOLUTION 1002/006 Award NASD Dispute Resolution In the Matter of the Arbitration Between: ** nf thft PlaimflTit f!age Number- 03-06282 Paul Thompson Name of the Respondent "Rearing .Sita: Baltimore, Maryland Indianapolis Securities, Inc. Alex Rabinovich Nature of the Dispute: Customer vs. Member and Associated Person. Claimant, Paul Thomps

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06281 Tamara Baroni Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Tamara Baroni, hereinafter referred to as "Claimant": Howard R. Behar, Esq., Howard R. Behar, P.A., Aventura, Florida. For Merrill Lynch, Pie

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Paul A. Volz, individually Paul A. Volz Rev. Lvg. Trust UAD 9/22/98 Names of the Respondents Morgan Stanley DW, Inc. John Albrecht Case Number: 03-06280 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Paul A. Volz, individually, and Paul A. Volz Rev. Lvg. Trust U

Award NASD Dispute Resolution In the Matter of the Arbitration Between: of the Climant Deborah Lee Morse Mampfl of tho Respondents Smith Barney, a Division of Citigroup Global Markets^ Inc. Aubrey Lee Price Case Number: 03-06276 : Atlanta, Georgia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Deborah Lee Morse, hereinafter referred to as "Claimant* 1 : Henry D. Fellows, Esq.,

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Terry Coleman and Josette Coleman and 01-01651 Phoenix, Arizona Name of Respondent Charles Schwab & Co., Inc. REPRESENTATION OF PARTIES Terry Coleman and Josette Coleman ("Claimants") were represented at the hearing by Rosemary J. Shockman, Esq., Phoenix, Arizona. Prior to the hearing by Terry Coieman. Charles Schwab & Co., Inc. ("Respondent")