Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Thomas W. Holley Name of the Respondent Walnut Street Securities Incorporated Case Number: 03-05425 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Thomas W. Holley, hereinafter referred to as "Claimant": Richard S. Frankowski, Esq., Whatley Drake L.L.C., Birmingham, Alabama. For Walnut

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05423 Dona Connelly Names of the Respondents Hearing Site: Tampa, Florida Linsco/Private Ledger Corp. Gary Cotter Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Dona Connelly, hereinafter referred to as "Claimant": Michael H. Schaalman, Esq., Quarles & Brady, LLP, Milwaukee, Wisconsin.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 03-05422 Dorothy Hanson, Successor Trustee for the Revocable Living Trust of P.O. Hanson Dtd. 9/9/96 Name of the Respondents Hearing Site: St. Louis, Missouri Robert W. Baird & Co., Inc. and NatCitv Investments, Inc. MATIIRF OF niQPIITF Customer vs. Member Firms RFPRFfiFMTATIOM Steve W. Koslovsky, Esq. of Maryland Heights, Missouri re

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Shirley Jean Lawrence and 03-05421 Phoenix, Arizona Name of Respondents A.G. Edwards & Sons, hie. Robert Harold Kennedy Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Shirley Jean Lawrence ("Claimant") was represented by Michael Salcido, Esq., Renaud CookDrury Mesaros PA, Phoenix, Arizona.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05410 Vincent S. Lucido IRA Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. Todd M. Hoffman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Vincent S. Lucido IRA, hereinafter referred to as "Claimant": Edwin B. Kagan, Esq.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Monica Teitelbaum and The Freda Teitelbaum Revocable Trust, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Jeffrey M. Stikes and Arthur J. Matney, Respondents Case Number: 03-05407 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Timothy A. Canning, Esq.

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' i Name of Claimant f Paul D. Corsaro and 03-05406 Phoenix, Arizona Name of Respondents i Morgan Stanley DW Inc. Jeffrey C. Won • Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Paul D. Corsaro ("Claimant") was represented by Christopher Lonn, Esq., Owens & Perkins, PC, Scottsdale, Arizona. Mo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: fir- 03-05403 Robert T. Weber nf frp ^f.gpfm^pflt fi ffpifn-jng ftitft* Dallas, Texas UBS Financial Services Inc.; George W. Lollis; and Rose M.Thompson Public Customer v. Member Firm and Associated Persons Claimant Robert T. Weber, hereinafter referred to as "Claimant": E. Steve Watson, Esq., located in Carrollton, Texas. Respondents UBS Financial Services,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-01564 Prudential Securities Incorporated, Claimant vs. Howard Leon, Respondent. ATTORNEYS: For Claimant appeared Steven Gomberg, Esq., of the firm Rooks, Pitts & Poust Chicago, IL. Respondent did not submit an answer to the Statement of Claim. DATE FILED: March 29, 2001 CASE SUMMARY: Claimant alleged that Respondent breach their contractual agreement and failed to repay a promissor

Stipulated Award NASD Dispute Resolution MARY K. ALLEN AND VALTON E.ALLEN Claimants, vs. KARL LINDEKUGEL, m and MERRILL LYNCH, PIERCE FENNER & SMITH, INCORPORATED, Respondents. § § § § § § § § § § § § NASD Case No. 03-05402 LOCATION: DALLAS, TEXAS NATTTRT? OF TTTF HTSPTTTT? Public Customers v. Member Firm and Associated Persons OF PAttTTFS Claimants Mary K. Allen and Valton E. A