Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nettye M. Henderson, Claimant v. A.G. Edwards & Sons, Inc. and Philip H. Woods Respondents Case Number: 03-06219 Hearing Site: Dallas, Texas NATURE OF THE DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Nettye M. Henderson, hereinafter (collectively) referred to as " "Claimant": Hector G. Longoria, Heard, Robins, Cloud,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name Estate of Dorothy V. Trueheart Linda J. Steiner Robert Herrick Case No. 01-01649 Ferris, Baker Watts, Inc. Gilbert F. Hartman, Jr. ing Site- Baltimore, Maryland HF Claimants, Estate of Dorothy V. Trueheart ("Trueheart"), Linda J. Steiner ("Steiner") and Robert Herrick ("Herrick"), hereinafter collectively referred to as "Claimants": Thomas C. Costello,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mollie Schartoff, individually, and on behalf of the Mollie Schartoff IRA, Claimant v. Diversified Securities, Inc., Louis S. Faubert, and Phillip M. Faubert, Respondents Case Number: 03-06213 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Ronald A. Marron, Esq. Law Offices

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Albert A. Vannini and Lillian Vannini and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., and John Oswald Case Number: 03-06209 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Albert A. Vannini and Lillian Vannini ("Claimants") was represented by

"f * AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: UBS Financial Services, Inc., Claimant vs. Edward F. Pellegrini, Respondent Case Number: 03-06208 SITUS: Dallas, Texas. NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES: UBS Financial Services, Inc., hereinafter referred to as "Claimant," was represented by Brent A. Burns, Esq., of the firm of Davidson & Grannum, LLP, located in Orangeburg, N

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Borselli Living Trust dtd 10/20/2000, Kathleen Borselli, and Agostino Borselli, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Inc., Edward J. Hogan, III, and Raymond E. Tate, Respondents Case Number: 03-06202 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Timothy A. Canning,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants KayP.Collings Cinda R. Anderson g nf the Pase Number- 03-6199 A.G. Edwards & Sons, Inc. Catherine Threat Alan H.Shaw Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customers vs. Member and Associated Persons. RFPRRSFNTATTON OF PAETTF.S Claimants, Kay P. Collings ("Collings") and Cinda R. Anderson ("Anderso

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Albert Sarfati, Esther Sarfati, and Norman Sarfati (Claimants) v. Prime Charter n/k/a Fahnestock & Co., Inc. and Adi Elfenbein (Respondents) Case Number: 03-06195 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Albert Sarfati ("A. Sarfati"), Esther Sarfati ("E. Sarfati"), and Norman Sarfati ("N.

Award NASD Dispute Resolution hi the Matter of the Arbitration Between: Lincoln Construction, Inc. Profit Sharing Plan and Trust, Kurt N. Schmitt, Trustee (Claimant) v. Prudential Equity Group, Inc. f/k/a Prudential Securities, Inc. and Ellwood W. Lewis (Respondents) Case Number: 03-06194 Hearing Site: Columbus, Ohio Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Lincoln Construction, Inc. Profit

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06189 Mary D. Miller & Stephen R. Miller & Patricia A. Canenas IT/TEN Name of the Respondent Hearing Site: Boca Raton, Florida Advest, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mary D. Miller ("M. Miller"), Stephen R. Miller ("S. Miller") and Patricia A. Canenas JT/TEN ("Canenas"),