Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-04371 JohnS. Foley, IRA Robert J. Page, Jr., IRA Names of the Respondents Hearing Site: Orlando, Florida Investacorp, Inc. Raymond James & Associates, Inc. Paul Wood Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John S. Foley, IRA ("Foley") and Robert J. Page, IRA ("Page"), herei

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04364 Basil Williams, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Basil Williams, ("Claimant"), appeared Wm. Jemison Minis, Jr., of Levin, Papantonio, Thomas, Mitchell, Echsner, & Proctor P.A., Pensacola, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared Julie L. Wilson, of Maynard, Cooper & Gale, P.C., Bir

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04359 American Express Financial Advisors, Inc., Claimant v. Judy N. Nolan, Respondent. ATTORNEYS: For Claimant, American Express Financial Advisors, Inc., ("Claimant") appeared Anthony Gericke, Minneapolis, MN. For Respondent, Judy N. Nolan, ("Respondent"), appeared Kathryn R. Downey, Esq., St. Paul, MN. NATURE OF DISPUTE: Member v. Customer DATE FILED: June 16, 2003 CASE SUMMAR

•f N.A.9I) DTSPUTF, KF.SOT.TITTOIV AWARTi NASD DISPUTE RESOLUTION CASE: "03-04358 MLPF& S CUST FPO Mark E. Wengiikowski IRA FBO Mark E. Wenglikowski, Claimant v. Men-ill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, MLPF& S CUST FPO Mark E. Wengiikowski IRA FBO Mark E. Wengiikowski, ("Claimant"), appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner, & Proctor, P.A., Pensacola, FL.

\ Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number; 03-04357 Derral D. Henderson Name of the Respondents Hearing Site,: Albuquerque, New Mexico Merrill Lynch Pierce Fenner & Smith, Inc. And Barry N. Arnwine NATTTRF OF mSPITTTE 1-1 -m..™^.-. ----- i rnr ,----• — o— . ., Customer vs. Member Firm and Associated Person RFPRFSFNTATTON OF PARTIES Kathleen Toolan, Esq. and Wm. Jemi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Danny G. Smith Kathy Smith Names of the Respondents UBS PaineWebber, Incorporated, n/k/a UBS Financial Services, Inc. John Santi John Barrack David Blindman Case Number 03-04343 Hearing Sjte: Memphis, Tennessee Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATTON OF PARTIES For Danny G. Smith ("DS") and K

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04336 Mary Lynne Eagan Farnet Names of the Respondents Hearing Site: New Orleans, LA Johnson Rice & Company, L.L.C. Andre' James Robert Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mary Lynne Eagan Farnet, hereinafter referred to as "Claimant": Henry W. Kinney, Esq., Kinney

Award NASD Dispute Resolution In the Matter of the Arbitration Between: J. Brent Packard, Claimant v. Edward D. Jones & Co., L.P., John B. Packard, Jr., Rosalie J. Smith, Karrie S. Michael, and Timothy M. Kelly, Respondents Edward D. Jones & Co., L.P., Cross-Claimant v. John B. Packard, Jr., Cross-Respondent Case Number: 03-04335 Hearing Site: Salt Lake City, Utah Nature of Dispute: Customer v. Member and Associated Persons Member v. Associated Person

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ryan Beck & Co., LLC, (Claimant) vs. Legg Mason Wood Walker, Inc., Dennis A. Reynolds, and Michelle A. Brolin, (Respondents) Case Number: 01-01459 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Ryan Beck & Co., LLC, ("Ryan Beck") hereinafter referred to as "Claimant": Sheldon M. Finkelstein, Esq., Podvey, Sachs, Meaneor, Cantenacci, Newark, NL Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nick Thomas Lomoro, Individually and as Trustee of the Nick Thomas Lomoro Revocable Living Trust Dated 11/13/97, Claimants v. Morgan Stanley DW Inc. and Andrew D. England, Respondents Case Number: 03-04329 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Mark H. Pierce, Esq. Ols