STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Jerry and Janice Marchbanks and Legg Mason Wood Walker, Inc. and Donald C. Celestin Case Number: 03-04554 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person Jerry and Janice Marchbanks ("Claimants") were represented by Steven Marchbanks, Esq., San Diego, California. Legg Mason Wood Walker

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-04551 James R. Schaub Alice M. Schaub Names of the Respondents Hearing Site: New Orleans, Louisiana Salomon Smith Barney Donald E. Domingue Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For James R. Schaub and Alice M. Schaub, hereinafter collectively referred to as "Claimants": Stephen

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Thomas Rodriguez Moran and Names of Respondents Merrill Lynch, Pierce, Fenner& Smith, Inc. and Newlin E. Lancaster Case Number: 03-04550 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Thomas Rodriguez Moran ("Claimant") was represented by Francis X. Sexton, Jr.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Renate L. Gardner, Claimant v. Pacific West Securities, Inc., David L. Baker, Shanon L. Ford and Erinn J. Ford, Respondents Case Number: 03-04547 Hearing Site: Salt Lake City, Utah Nature of Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Randall Heiner, Esq. Law Offices of Randall Heiner Salt Lake City, Utah For Resp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter Marron (Claimant) v. GKN Securities Corp., Investec Ernst & Company, John Marron, Frank Zappone., and Robert Gladstone (Respondents) Case Number: 03-04546 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimant Peter Marron ("P. Marron") hereinafter referred to as "Claimant": John P. Cione, Esq.,

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Jon ShevelJ (Claimant) vs. Correspondent Services Corp. and Todd Eberhard (Respondents) Case Number: 03-04545 SITUS: New York, New York NATURE OF DISPUTE: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES John Shevell ("Shevell") hereinafter referred to as "Claimant": Morgan W, Bentley, Esq., Newark, NJ. Respondent Correspondent Services Corp. ("CSC"): Howa

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01469 Lloyd R. Thoraer, claimant vs. Quick & Reilly, respondent. ATTORNEYS: Claimant appeared Pro Se, Palmer Lake, CO. Respondent appeared through its in-house counsel, Brian McSherry, New York, NY. DATE FILED: March 23, 2001 CASE SUMMARY: Claimant alleged that respondent made poor fills on the sale of AOL and Priceline stocks thereby causing a loss to his account. Claim Data Aw

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Gail E. Jarand Galante, Individually, and as Executrix of the Estate of Leon Nicholas Jarand, and as Trustee for the Owen Jarand Testamentary Trust, and the Eric Jarand Testamentary Trust (Claimants) v. Edward D. Jones & Co. and Thomas K. Dalton (Respondents) Case Number: 03-04541 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04537 Hector Perez Perez Names of the Respondents Hearing Site: San Juan, Puerto Rico Salomon Smith Barney, Inc. Dario Suarez Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Hector Perez Perez, hereinafter referred to as "Claimant": Juan C. Bigas, Esq., Bigas & Bigas, Ponce, Puerto Rico.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-04536 Charles Gunn Jo Ann Gunn Names of the Respondents Hearing Site: Atlanta, Georgia Robert Morris Glasgow, III Prudential Securities, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Charles Gunn and Jo Ann Gunn, hereinafter collectively referred to as "Claimants": Lange Cla