Award NASD Dispute Resolution In the Matter of the Arbitration Between: NGA Inc. (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith and Mark Justin (Respondents) Case Number: 03-06160 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant NGA Inc. hereinafter referred to as "Claimant": Norman Goldstein, President, NGA Inc., Hicksville, NY. Respondents Merrill Lynch, Pie

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case-Number: 03-06158 Stuart Hirsch, M.D. Ellin R. Hirsch Name of the Respondents: Hearing Site: Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Alane Siem Jay Siem Merrill Lynch & Co., Inc. Nature of the Dispute: Customers vs. Member, Associated Persons, and Non-Member REPRESENTATION OF PARTIES Claimants, Stuart Hirsch, M.D. an

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Aristotle Pappajohn and 01-01633 Minneapolis, Minnesota Name of Respondent U.S. Bancorp Piper Jaffray, Inc. REPRESENTATION OF PARTIES Aristotle Pappajohn ("Claimant") was represented by Randall E. Nielsen, Esq., Pappajohn, Schriver, Eide & Nicholas, P.C., Mason City, Iowa. U.S. Bancorp Piper Jaffray, Inc. ("Respondent") was represented by Mark S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Paul and Lenore Bey, as Trustees of the Bey Revocable Living Trust, Claimants v. Salomon Smith Barney, Inc. and Robert Breen, Respondents Case Number: 00-00747 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: James A. Sigler, Esq. Law Offices of James A. Sigler Granada Hills, California For Respondents: Linda R. Alpert, Esq. Salomo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06156 Diane Romano Name of the Respondent Hearing Site: Orlando, Florida A.G. Edwards & Sons, Inc. Frank Leloia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Diane Romano, hereinafter referred to as "Claimant": Andrew V. Tramont, Esq., Rodriguez Tramont Guerra & Nunez, P.A.,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Gerald Karlen and Pamela Karlen v. 03-06148 Denver, Colorado Nature of Dispute: Customers v. Member Firm REPRESENTATION OF PARTIES Gerald Karlen and Pamela Karlen ("Claimants") were represented by Tracy Pride Stoneman, Esq., of Tracy Pride Stoneman, PC, Westcliffe, Colorado. Stanford Group Company ("Respondent") was represented by James C. Ruh, Esq., of Holme

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Cast* Number: 03-06147 Kenny W. Wilson IS)amfi of thp Respondents Hearing Site- St. Louis, Missouri Merrill Lynch, Pierce, Fenner & Smith, Inc. and Milton H. Ohlsen Customer vs. Member Firm and Associated Person n Charles A. Seigel, Esq. of the law firm Seigel & Wolff located in St. Louis, Missouri and co- counsel Michael A. Fisher of The Stoiar Part

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06146 Barabara A. Novak Name of the Respondents Hearing Site: Chicago, Illinois Bane One Securities, Corp., Fredric R. Hoffman, and Robert Hutchinson NATURE OF THE DISPUTE Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Claimant Barabara A. Novak ("Novak") did not have attorney representation but received

Stipulated Award NASD Dispute Resolution In the Matter of Arbitration Between Names of Claimants Patrick F. McPherson and Mary F. McPherson, Individually and On Behalf of Their Joint Tenants In Common Account, Kilsarn FLP Shamrock Trust GP, Environmental Imaging Sys, Inc., Repro Technology, Inc. and Maggie McPherson Trust and Case Number: 03-06145 Hearing Location: Houston, Texas Names of Respondents Lockwood Financial Services and M

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 03-06141 Elaine C. Dewey Name of the Respondents: Hearing Site: Richmond, Virginia Scott A. Kramnick Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant Elaine C. Dewey, hereinafter referred to as "Claimant", is Pro se. Respondent Scott A. Kramnick, hereinafter referred to as "Respondent" was