Award NASD Dispute Resolution In the Matter of the Arbitration Between: Werner A. Hradecky, Werner A. and Evette Hradecky, and Werner A. Hradecky, IRA, Claimants v. Centex Securities, Inc., Thomas Vincent Moore, and Ronald Duane Brouillette, Jr., Respondents Case Number: 01-01615 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Charles E. Wheeler, Esq. Cozen and O'Connor San Diego, California For Respondent Centex

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia Morrow and Patricia Morrow as Trustee for the Morrow Family Trust dtd 9/27/1988, Claimants v. Morgan Stanley DW Inc., Robert F. Pondt, Jr., and Gary A. Hamm, Respondents Case Number: 03-05880 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Michael Huberman, Esq. H

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Estate of Joseph Sportello, Isobel Sportello, Peter Sportello, and Annmarie Sportello (Claimants) v. A.G. Edwards & Sons, Inc. and Jim Cohlmia (Respondents) Case Number: 03-05862 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants The Estate of Joseph Sportello ("The Estate of Joseph Sportello

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of tbp Claimant Case Number; 03-0^861 Stephen H. Downs, Trustee for The Tiede Metz & Downs, P.C. Profit Sharing Plan f . • Name of the Respondents Hearing Site- Indianapolis, Indiana McDonald Investments, Inc. and Philip D. Ypung TVATTTPF HF Customer vs. Member Firm and Associated Person FP NTATTOT O Stephen H. Downs, Esq. appeared for Stephen H. Downs, Trustee

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Alton and Leila Graves and Names of Respondents Merrill Lynch, Pierce, Fenner& Smith, Inc. and John S. Kloss, Jr. Case Number: 03-05860 Hearing Site: Houston, Texas NATURE OF CASE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Alton and Leila Graves ("Claimants") were represented by Sean Greenwood, Esq. a

Revised Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf tVie Claimant Case Number- 03-05856 Richard A. Weiner Name of the Respondent Hearing Site* Charlotte, North Carolina Legg Mason Wood Walker, hie. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTTFS Claimant, Richard Weiner, hereinafter referred to as "Claimant," was represented by Michael G. Sullivan, Esq. of the firm Michael G. Sul

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05851 Karen F. DeShazo Name of the Respondents Hearing Site: Kansas City, Missouri Edward D. Jones & Co., and Mark Schwartz NATURE OF THE DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES John J. Miller, Esq., with Law Offices located in Kansas City, Missouri, represented Claimant Karen F. DeShazo, he

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerry Mazzarella IRA, Theresa Mazzarella IRA, Theresa Mazzarella TOD Linda Mele, Jerry Mazzarella TOD Frank Mazzarella, (Claimants) v. First Union Securities, Inc. n/k/a Wachovia Securities, Inc. and Anthony Rogers, (Respondents) Case Number: 03-05844 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTI

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05843 Thomas W. Christian Rollover IRA and Kathleen D. Christian IRA, Claimants v. A.G. Edwards & Sons, Inc. and Jerry Duncan, Respondents. ATTORNEYS: For Claimants, Thomas W. Christian Rollover IRA and Kathleen D. Christian IRA, ("Claimants"), appeared Jeffrey S. Salisbury, Eugene, OR. Respondents, A.G. Edwards & Sons, Inc. and Jerry Duncan, ("Respondents"), appeared through their in-ho

MODIFIED AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Raymond James Financial Services, Inc. f/k/a Robert Thomas Securities, Inc. (Claimant) vs. Michael J. Strasser (Respondent) Case Number: 03-05 842 SITUS: New York, New York. NATURE OF DISPUTE: Member v. Associated Person. REPRESENTATION OF PARTIES Raymond James Financial Services, Inc. f/k/a Robert Thomas Securities, Inc. ("RJFS") hereinafter referred to as "Claiman