Award NASD Dispute Resolution In the Matter of the Arbitration Between: George E. Markovic, Claimant v. Jo Ann Corrao and Morgan Stanley DW Inc., Respondents Case Number: 03-04618 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: R. Craig Zafis, Esq. A.R. Hausauer, Jr., Esq. R. Craig Zafis, APC San Diego, California For Respondents: Jesse Simpson, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harvey T. Vechery IRA Rollover Custodian Account, Harvey T. Vechery and Linda M. Vechery trustees of the Vechery Family Trust dtd 10/09/1984, and Tracy Von Vechery as trustee of the Tracy Von Vechery Living Trust dtd 10/28/97, Claimants v. Lehman Brothers, Inc. and Jeff Maurice Turnbaugh, Respondents Case Number: 03-04616 Hearing Site: Los Angeles, California Nature of the Dispute

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04610 Robert K. Miller, as Personal Representative of the Estates of Rosalie Shaw and Wilson Shaw Name of the Respondent Hearing Site: Boca Raton, Florida Raymond James and Associates Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Robert K. Miller, as Personal Representative of the Estates of Rosalie Shaw and Wi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard J. Moody, individually and as personal trustee of the estate of Judith L. Moody and 03-04609 Oklahoma City, Oklahoma Name of Respondent Morgan Stanley DW, Inc. NATURE OF THE DISPUTE Customer vs. Member Firm REPRESENTATION OF PARTIES Richard J. Moody, individually and as personal trustee of the estate of Judith L. Moody ("Claimant") was

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: - f*iflirnflpt B Pggp Kfrirnhp.]" 03-04605 Robert and Susan Grandys ft ^f Tb ft K ftg p n n < 1 p rt c: Hearing Sit?- Dallas, Texas Christopher Noel Williams Wells Fargo Investments, LLC Ol? PRTTFS Claimants Robert F. Grandys and Susan G. Grandys ("Claimants") were represented by Rachel R. Hranitzky, Hiersche

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Sylvia Sauceda and Case Number: 03-04604 Hearing Site: Houston, Texas Names of Respondents Morgan Stanley & Co. d/b/a Morgan Stanley Dean Witter, Morgan Stanley DW, Inc. d/b/a Morgan Stanley Dean Witter, and Alfonso Asencio NATURE OF DISPUTE Customer v. Member Firms and Associated Person REPRESENTATION OF PARTIES Sylvia Sauceda ("Claimant") wa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jay S. Lee, Direct Access Trader Corporation and InvestIN Securities Corporation, Claimants/Counter-Respondents v. Hanmi Securities, Inc., Respondent/Counter-Claimant Case Number: 01-01479 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person, Non-Member and Member vs. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent Jay S. Lee: George T. Kel

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thft Claimant Pase Number- 03-04603 Russell Schieder, Jr. Names nf the Respondents Hearing Site- Philadelphia, PA Richard Flora Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Associated Person and Member RFPttESF.NTATTON OF PARTIES Claimant, Russell Schieder, Jr., hereinafter referred to as "Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: A.L. Bruner, Marilyn Bruner and B & C Housing, Inc., a California Limited Partnership, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case Number: 03-04586 Hearing Site: Portland, Oregon Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Robert A. Graham, Jr., Esq. The Law Offices of Robert A. Graham, Jr. Grants Pass

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04584 Leander W. Hughley, Trustee of the Johnny L. Hughley Sr. and Leander W. Hughley Family Trust Names of the Respondents Hearing Site: Atlanta, Georgia Byron Rainner William P. Chien Synergy Investment Group, LLC Penson Financial Services, Inc. MetLife Securities, Inc. Michael Chien Kevin Begley Nature of the Disput