AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Gary and Joan Gretchen Biggs and 03-05179 Phoenix, Arizona Name of Respondents Wells Fargo Investments, LLC Matthew C. Boyd Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Gary and Joan Gretchen Biggs ("Claimants") were represented by Robert D. Mitchell, Esq., Mitchell Law Offices, P.C., Phoenix, Arizon

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Tlai'mant Case Number- 03-05176 J.J.B. Milliard, W. L. Lyons, Inc. Names of the Respondents Hearing Site 1 Charlotte, North Carolina Henry Benthall Marshall, m Phillip Jason Luquire Nature of the Dispute: Member vs. Associated Person. OF PARTIES Claimant J.J.B. Milliard, W. L. Lyons, Inc. ("ML") was represented by Matthew J. Morelli, Ulmer

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hannelore Kutz, Claimant v. Wells Fargo Securities Inc. and Deborah Ann Lindley, Respondents Case Number: 03-05173 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Thomas H. Porter, Esq. Law Offices of James Jay Seltzer Emeryville, California For Respondents: Anthony

Amended Awiard NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Name of Claimant James M. McEntyre, IRA t ' ' Name of Respondent j E*Trade Securities, Inc. ' • Case Number: 01-01534 Hearing Site: Tampa, FL REPRESENTATION OF PARTIES For James M, McEntyre, IRA, hereinafter referred to as "Claimant": James M. McEntyre, Sarasota, FL. For E*Trade Securities, Inc. ("E*Trade"), hereinafter referred to as "Respondent": John Bers

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Hai'mants; Cast* Number- 03-05169 William P. Gordon, Sr. Carolyn E. Gordon Names nf the Resprmrif*nts He-jmng Site* Washington, DC Merrill Lynch, Pierce, Fenner & Smith, Inc. Jeffrey Hale Nature of the Dispute: Customers vs. Member and Associated Person. OF PARTTF.S Claimants, William P Gordon, Sr. and Carolyn E. Gordon, hereinafter collectively r

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05165 UBS Financial Services Inc. f/k/a UBS PaineWebber, Inc., Claimant v. Victor Patricio Galvez, Respondent. ATTORNEYS: For Claimant, UBS Financial Services Inc. f/k/a UBS PaineWebber, ("Claimant"), appeared Laura Martin, Esq., of the firm Davidson & Grannum, LLP, Northvale, NJ. Respondent, Victor Patricio Galvez, ("Respondent"), appeared pro se, Chula Vista, CA. NATURE OF DISPUTE: Mem

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Homer R. Kincaid and Lula M. Kincaid (a/k/a Lulu M. Kincaid) (Claimants) v. Noel Belmonte, Kimberly Carrella, John Kawas, Kimberly Jean Misaraca, Howard Braff, Michael Davison, RBC Dain Rauscher, and Kimberly Securities, Inc. (Respondents) Case Number: 03-05163 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers vs. Members and Associated Persons. REPRESENTATION OF PARTIES

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Charlotte C. Rosen, individually and as Trustee on behalf of the Charlotte C. Rosen Trust Names of the Respondents Sigma Planning Corp. a/k/a SPC Sigma Financial Corporation Norman Liebowitz Case Number. 03-05161 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PA

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Gary and Kerensa Gattis and Names of Respondents Goldman, Sachs and Company and Bradford V. Weston Case Number: 03-05158 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Gary and Kerensa Gattis ("Claimants") were represented by Sean F. Greenwood, Esq., Heard, Robins,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: FutureTrade Securities, LLC, Claimant v. Diversified Global Capital Group, Inc., Respondent Case Number: 03-05151 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Member REPRESENTATION OF PARTIES For Claimant: Murray Finebaum, Esq. FutureTrade Securities, LLC Lake Forest, California For Respondent: Clinton L. Hubbard, Esq. Law Offices of Clinton L.