AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Dr. D. Ross and Janet E. Halliday and 03-05680 Phoenix, Arizona Name of Respondents RBC Dain Rauscher Inc. Patricia B. Ternes Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Dr. D. Ross and Janet E. Halliday ("Claimants") were represented by John J. Nicgorski, Esq. and Daniel P. Beeks, Esq., Mohr, Hack

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Anthony Carlisi, Lucy J. Carlisi and Joseph Carlisi and Case Number: 03-05678 Hearing Site: Soirthfield, Michigan Respondent Bane One Securities Corporation NATURE OF DISPUTE Customers v. Member REPRESENTATION QF PARTIES Anthony Carlisi, Lucy J. Carlisi and Joseph Carlisi ("Claimants") were represented by Joel H. Kaufman, Esq., Farmington Hills, Michigan

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Robert S. Alford and Catherine P. Alford, TIC Case No. 01-01600 Names of Respondents Andre Robert Johnson Rice & Company, L.L.C. Hearing Site: New Orleans, LA REPRESENTATION OF PARTIES For Robert S. Alford and Catherine P. Alford, TIC, hereinafter collectively referred to as "Claimants": Henry W. Kinney, Esq. of Kinney & Ellinghausen, New

Stipulated Award NASD Dispute Resolution In the Matter of Arbitration Between: Claimant Beauregard Investments, L.P. v. Respondents Credit Suisse First Boston LLC, Jin Kyun Park, John Emery Sawyer, IV, Pershing, LLC, a Division of Donaldson, Lufltin & Jenrette Securities Corporation, a/k/a Pershing LLC, and Donaldson, Lufkin & Jenrette Securities Corporation. NASD Arbitration No. 03-05675 Hearing Location: Dallas, Texas NATURE OF THE DISPUTE

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant and Respondents UBS Financial Services, Inc., and William H. Moeller And Respondent/Third-Partv Claimant UBS Financial Services, Inc. v. Third-Party Respondents Carol Young and John Gould Case Number: 03-05674 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member and Associated Persons and Member v. Customers REPRESEN

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant David Siroospour, individually and on behalf of his IRA and Trust Accounts v. 03-05673 Denver, Colorado Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and David Cramer Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES David Siroospour, individually and on behalf of his IRA and Trust Accounts ("Claimant") was

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Leonard M. Danowski and Gloria R. Danowski and Name of Respondent Prudential Securities Incorporated and Mark T. Gierl Case Number: 03-05672 Hearing Site: Milwaukee, Wisconsin NATURE OF DISPUTE Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Leonard M. Danowski and Gloria R. Danowski, ("Claimants"), were represented by Pet

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05670 First Avantus Securities, Inc., Claimant v. David Hayes, Respondent. ATTORNEYS: For Claimant, First Avantus Securities, Inc., ("Claimant"), appeared John Courtade, Esq., Austin, TX. Respondent, David Hayes, appeared pro se, Austin TX. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 1, 2003 CASE SUMMARY: Claimant alleged that Respondent breached his contract by

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stanley Feldman and Pick-A-Part, LLC (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Kenneth Neuman (Respondents) Case Number. 03-05667 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Stanley Feldman ('Teldman") and Pick-A-Part, LLC ("Pick-A-Part") hereinafter collectively r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Evan Klein (Claimant) v. Prudential Equity Group, Inc. f7k/a Prudential Securities, Inc. (Respondent) Case Number: 03-05666 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Evan Klein ("Klein") hereinafter referred to as "Claimant": Ted D. Rosen, Esq., Rosen & Tetelman, LLP, New York, NY. Respondent Prud