Award NASD Dispute Resolution In the Matter of the Arbitration Between: Herbert E. Gleicke Trust v. Morgan Stanley Dean Witter and John M. Grazioli Case Number: 01-01621 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Herbert E. Gleicke Trust For Respondents: Morgan Stanley Dean Witter Inc. John M. Grazioli Morse Taylor, Esq. Taylor & Miller Santa Monica, California Kevin Fitzgerald, Esq. Jon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05935 Mary Bailey Names of the Respondents Hearing Site: Boca Raton, Florida K.W. Brown Investments Directed Services, Inc. Katy L. Talton Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mary Bailey (Bailey), hereinafter referred to as "Claimant": Chandra Parker Doucette, Esq., Boca

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Leon Silverberg, individually and as trustee of the Miriam Silverberg Rev. Trust U/A DTD 3/13/97 Miriam Silverberg, individually and as trustee of the Miriam Silverberg Rev. Trust U/A DTD 3/13/97 Names of the Respondents Asset Management Securities Corp. Barry Financial Group Case Number: 03-05933 Hearing Site: Boca Raton, Florida

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05930 Alejandro Hernandez Name of the Respondent Hearing Site: Boca Raton, Florida Inigo, S.A. Nature of the Dispute: Associated Person vs. Customer REPRESENTATION OF PARTIES For Alejandro Hernandez, hereinafter referred to as "Claimant": Michael D. Wallander, Esq., Greenberg Traurig, P.A., West Palm Beach, Florida. For Ini

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Phiilis Rienstra Jeffrey, Individually and as Beneficiary of Robert Jeffrey (deceased) IRA and Case Number: 03-05918 Hearing Site: Houston, Texas Names of Respondents Metropolitan Life Insurance Co., MetLife Securities, Inc., and Jens F. Busch, Jr. NATURE OF DISPUTE Customer v. Member Firms and Associated Person REPRESENTATION OF PA

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Judith Feinberg, Chester Feinberg and Chester Feinberg IRA (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and John Bogart (Respondents) Case Number: 03-05914 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Judith Feinberg ( C 'J. Feinberg"), Chester Feinberg ("C. Feinber

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Patricia Ann Walters and 03-05905 Phoenix, Arizona Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney S. Douglas Cornell Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Patricia Ann Walters ("Claimant") was represented by Mark D. Lammers, Esq., Anson, Lammers & Barkl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bob M. Cohen as Trustee for the Bob Cohen and Associates Law Corp. Profit Sharing Plan, Claimant v. Bear Stearns & Co., Inc., Respondent Case Number: 03-05899 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Jeffrey B. Kaplan, Esq. Dimond Kaplan & Rothstein, P.A. Miami, Florida For Respondent: Stacey M. Garr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: g nf thp rjaimfl^f Page "Nf^p^h^- 03-05887 BNY Capital Markets, Inc. Hearing Site: Dallas, Texas CSG Investments, Inc.; Deal Bank; and, Beal Capital Markets, Inc. NATTT3F Member Firm v. Non-Members with Contract to Arbitrate and Non-Member without Contract to Arbitrate RFPT3FSFNTATTOTV OF PAKTTFS Claimant BNY Capital Markets, Inc., hereinafter referred to as "Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Howard Rosencrans (Claimant) v. HD Brous & Co., Inc., Howard Brous, and Robert Brous (Respondents) Case Number: 03-05886 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Howard Rosencrans ("Rosencrans") hereinafter referred to as "Claimant": Steven Altman, Esq., Altman & Company, P.C.,