AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ellen Levin and Names of Respondents Citigroup Global Markets, Inc., and Kenneth N. Wides Case Number: 03-06275 Hearing Site: Houston, Texas Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Ellen Levin ("Claimant") was represented by Richard A. Roth, Esq., The Roth Law Firm, PLLC, New York, New York. Citigroup Global

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant i James Gentile and . Names of Respondents Lehman Brothers, Inc., James P. Meyer, and SG Cowen Securities Corporation Case Number: 03-06269 Hearing Site: Chicago, Illinois NATURE OF DISPUTE Customer v. Member Firms and Associated Person ! , , •.'.,-.' REPRESENTATION OF PARTIES , ' • ' ' ' ' '

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anne M. Sherman (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, hie. and J. Colby King (Respondents) Case Number: 03-06261 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Anne M. Sherman ("Sherman") hereinafter collectively referred to as "Claimant": David M. Rickert, Esq., Weisbro

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06257 American Express Financial Advisors, Inc., Claimant v. Nancy L. Swanson, Respondent. ATTORNEYS: Claimant, American Express Financial Advisors, Inc., ("Claimant"), appeared through their Manager, Michael Northrop, Minneapolis, MN. Respondent, Nancy L. Swanson, ("Respondent"), did not submit an answer in this case. NATURE OF THE DISPUTE: Member v. Customer DATE FILED: August 28, 2003

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hans G. Franke, Claimant v. Wells Fargo Bank, N.A., Douglas Evans, and Amanda Weitman, Respondents Case Number: 03-06253 Hearing Site: Reno, Nevada Nature of the Dispute: Customer v. Non-Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Jeff Dennis Ferentz, Esq. Ronald E. Miller, Esq. Jeff Dennis Ferentz, Inc. Newport Beach, California Ronald E. M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eileen Ann Anderson TTEE Mary M. Simpson 1990 Revocable Living Trust, Claimant v. Financial West Group and Patrick J. Sahli, Respondents Case Number: 03-06252 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Reed H. Bement, Esq. Law Offices of Reed H. Bement, Inc. San Francisco, Ca

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Wykoff Family Trust dtd 10/30/89, Claimant v. Edward D. Jones & Co., Respondent Case Number: 03-06250 Hearing She: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: William P. Torngren, Esq. Law Offices of William P. Torngren Sacramento, California For Respondent: Sandra B. Galling Esq. Greensfelder, Hemker &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Herbert and Lorraine Sahar, Claimants, v. Jeffrey M. Christenat and Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondents Case Number: 03-06249 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: David N. Bruce, Esq. Savitt & Bruce LLP Seattle, Washington For Respondents: Robert B.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Jerry P. Sellers, Jr. Susan Sellers Jerry P. Sellers Names of the Respondents Morgan Keegan & Company, Inc. Jamie Montz Case Number: 03-06246 Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jerry P. Sellers, Jr., Susan Sellers, and Jerry P. Sellers, hereinafte

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant ; Central Brevard Radiology SEP FBO Jeffery S. Araj Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Terry Tolbert Phua Young James D. McCall Case Number: 03-06245 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Central Brevar