Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wanda Borden, Claimant v. Wells Fargo Investments, LLC and Carl I Cottingham, Respondents Case Number: 03-04733 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Scott A. Shorr, Esq. Emily S. Courtnage, Esq. Stoll, Stoll, Berne, Lokting & Snlachter, PC Portland, Oregon For Res

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Joseph Brodesser, individually and as trustee of the Joseph Brodesser Rev Trust dtd 6/1/00 and Dolores M. Brodesser, individually and as trustee of the Dolores M. Brodesser Rev Trust dtd 6/1/00 Names of the Respondents Case Number: 03-04727 Asset Management Securities, Corp. James Albert Barry, Jr. James Michael Barry Hearing Sit

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Linda J. Haley and Thomas K. Haley and 03-04722 Chicago, Illinois Name of Respondents A.G. Edwards & Sons, Inc. Larry J. Anderson Robert L Schrieber Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OFfARTJES Linda J. Haley and Thomas K. Haley ("Claimants") were represented by Laurence M. Landsman, Esq., Block

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Erwin J. and Andrea M. Shustak, Claimants v. Miller & Schroeder Financial, Inc., Respondent Case Number: 01-01492 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Erwin J. Shustak, Esq. Shustak Jalil & Heller San Diego, California For Respondent: Lindsay G. Arthur, Jr., Esq. Arthur, Chapman, Kettering, Smetak & Pikala, P.A. Minneapol

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant/Counterrespondent American Express Financial Advisors, Inc. i : Name of the Respondent/Counterclaimant Desmond Brivik Case Number: 03-04719 Hearing Site: Kansas City, Misspuri Type of Controversy: Member Firm v. Associated Person REPRESENTATION OF PARTIES ^^^ == ^^^^ =s====== ^ = ^^ == ^^ = ^^^ :

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Renee C. Kaplan, individually and as Trustee on behalf of the Renee C. Kaplan Trust Case Number: 03-04716 Names of the Respondents Sigma Planning Corporation a/k/a SPC Sigma Financial Corporation Norman J. Liebowitz Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer v. Non-member, Member and Associated Person. REPRES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Maria Thayer Nass Case Number: 03-04714 Name of the Respondent The Ayco Company, L.P. Hearing Site: Albuquerque, New Mexico NATURF OF DISPUTF Customer vs. Non-Member Firm II= - Clinton W. Marrs, Esq. of the law firm Vogel Campbell & Blueber, P.C., located in Albuquerque, New Mexico, represented Claimant, Maria Thayer Nass ("Nass"), herein

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Jimmy Weidner, Fred Weidner, Melvin Bass, Individually and as Custodian for Justin W. Rutland Ugma, Brittany Rutland Ugma, Brandon Myers Ugma, Amanda Myers Ugma, Leon Gurka, Ladoskka Gurka, Individually and on behalf of her IRA, and Joseph and Regina Gurka, Individually and on behalf of their IRAs and Case Number: 03-04713 Hearing Sit

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Amy M. McCleary, Claimant v. Wells Fargo Securities, LLC and Timothy J. Owen, Respondents Case Number: 03-04710 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES 1 For Claimant: Michael Esler, Esq. Esler, Stephens & Buckley Portland, Oregon For Respondents: Tanya A. Durkee, Esq. Lane Po

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Amir Heshmatpour and Kathy Heshmatpour, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Nicholas A. DeNucci, Respondents Case Number: 03-04709 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Bruce D. Oaks, Esq. Richard B. Fosher, Esq. Oakes & Fosher, LLC St. Lo