Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW, Inc. (formerly Dean Witter Reynolds, Inc.)(Claimant) v. Fred Moscone (Respondent) Case Number: 03-04440 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Morgan Stanley DW, Inc. ("MSDW") hereinafter referred to as "Claimant": Robert C. Scremin, Esq., Kane & Fischer, Ltd., Chicago, IL.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Harry J. and Anetha Diamond and Names of Respondents Prudential Equity Group, LLC, and Louis M. Perry Case Number: 03-04434 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person Harry J. and Anetha Diamond ("Claimants") were represented by Lance Arney, Esq., The Arney Law Firm, Houston, Texas and Hartl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Young Jun Yang, Claimant v, Morgan Stanley DW Inc. and Gapsik Choo, Respondents Case Number: 03-04429 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Marc I. Zussman, Esq. Law Offices of Marc I. Zussman Los Angeles, California For Respondents: Ronald E. Wood. Esq. Christine Pham

05/23/20GS 15:20 FAX 202 728 8082 NASD DISPUTE RESOLUTION 1^002/005 Award NASD Dispute Resolution In the Matter of the Arbitration Between: f the Eugene R. and Patricia M. Olson Name nf the Respondents Kenneth Rock American Express Financial Advisors, Inc. TJfnmher 03-04428 Hearing Site! Pittsburgh, PA Nature of the Dispute: Customers vs. Associated Person and Member PARITIES Claimants, Eugene R. and Patricia M. Olson, he

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Willie Smith, Jr., TTEE Willie Smith, Jr., IRRA Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith Incorporated James David Gardner Case Number: 03-04426 Hearing Site: Little Rock, Arkansas Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATTON OF PARTIES For Willie Smith, Jr., TTEE and Willie

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04421 Robert L. Hund, Claimant v, Merrill Lynch, Pierce, Fenner & Smith, Inc. and Jocelyn E. McGeachy, Esq., Respondents. ATTORNEYS: Claimant, Robert L. Hand, ("Claimant"), appeared pro se, New Orleans, LA. Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc. and Jocelyn E. McGeachy, Esq.. ("Respondents") appeared through their in-house counsel Margaret L. Watson, New York, NY, NATUR

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Willy Salas (Claimant) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. and Michael Gill (Respondents) Case Number: 03-04418 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person, REPRESENTATION OF PARTIES Claimant Willy Salas ("Salas") hereinafter referred to as "Claimant": Dale Ledbetter, Esq. and Jan Atlas

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James O. Harte and Pamela D. Harte (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Robert D. Traitz (Respondents) Case Number: 03-04417 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants James O. Harte ("J. Harte") and Pamela D. Harte ("P. Harte") hereinafter collectively referred

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant John Franklin and 03-04415 Kansas City, Missouri Name of Respondents Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES John Franklin ("Claimant") was represented by Barry R. Grissom, Esq., Grissom Law Offices, Overland Park, Kansas and John J. Miller, Esq., Law

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities, Inc., Claimant v. William Bow, Respondent Case Number: 01-01463 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant First Union Securities, Inc.: Diane C. Fisher, Esq. Tom Volz, Esq. Kane & Fisher, Ltd. Chicago, Illinois For Respondent William Bow: Greg Sherwin, Esq. H. Thomas Fehn, Esq. Fields, Fehn & Sherwin