Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: L.I. Sunshine Realty, LLC, Kevin R. Seek IRA, Kathleen D. Seek IRA, Robert F. Seek c/f Robert E. Seek, Elizabeth A. Seek IRA, and Jacklyn M. Seek (Claimants) v. UBS Financial Services, Inc. f/k/aUBS PaineWebber, Inc., Robert Cochrane, and James B. Daley, Jr. (Respondents) Case Number: 03-03964 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Ass

COPY NASD Dispute Resolution In the Matter of the Arbitration Between: Patsy Y. Butler, Claimant v, Morgan Stanley DW Inc. and John Joseph Moran, Respondents Case Number: 03-03957 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Mitchell S. Ostwald, Esq. Law Offices of Mitchell S. Ostwald Sacramento, California For Respondents: John Worden, Esq. M

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Fahenstock&Co., Inc. and Name of Respondent Laura Sage Case Number: 03-03955 Hearing Site: Chicago, Illinois NATURE OF DISPUTE Member v. Associated Person. REPRESENTATION OF PARTIES Fahnestock & Company, ("Claimant"), was represented by Andrew J. Kohler, Esq. and Eric J. Shames Esq. of Oppenheimer & Company, a division of Fahnestock & Co., Inc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: A. James Leeds and June Ruth Leeds aka Ruth R. Leeds, Claimants v. Morgan Stanley DW Inc., Prudential Equity Group, LLC, Dominic Prosi, Rad Brdar, and Anthony J. Maude, Respondents Case Number: 03-03954 Hearing She: Los Angeles, California Nature of the Dispute: Customers v. Members and Associated Persons REPRESENTATION OF PARTIES For Claimants: For Respondents Morgan Stanle

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Betty J. Trask, Claimant v. John C. McCormick, Round Hill Securities, Inc., PIM Financial Service, Inc., and Royal Alliance Associates, Inc., Respondents Case Number: 03-03953 Hearing She: Portland, Oregon Nature of Dispute: Customer v. Associated Person and Members REPRESENTATION OF PARTIES For Claimant: For Respondents John C. McCormick and PIM Financial Services Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case Number: 03-03950 Jules B. and Elaine Jaspan Names nf the Respondents Hearing Site: Philadelphia, PA Janney Montgomery Scott, LLC Russell R. Valante Nature of the Dispute: Customers vs. Member and Associated Person RFPRFSFNTATTON OF PARTIES Claimants, Jules B. and Elaine Jaspan, hereinafter collectively referred to as "Claimants", were represen

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Lillian Davan Names of the Respondents A.G. Edwards & Sons, Inc. Christopher Hamilton Case Number: 03-03946 Hearing Site: Tampa, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lillian Davan, hereinafter referred to as "Claimant": Robert Landt, Esq. and George Franjola, Esq., Land

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claimants/ Counter^^pspon^pnits P^p Number' 01-01433 American DataSource, Inc., Morgan Keegan Trust Co., FSB as Trustee for American Funeral Plan -Texas Edward Jones Trust Co., as Trustee for American Funeral Trust - Ohio U.S. Bank, N.A. as Trustee for American Funeral Trust - Iowa Name of th^ ftpgpnnHfntg/ rmiptfHmrpmifrt Homing Si fe " Houston, Texas Philip

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Michael G. McCarthy, Individually and as Trustee of the Jean McCarthy Trust, Patricia McCarthy Trust, and Ann Elizabeth McCarthy Trust and Names of Respondents Morgan Stanley DW, Inc., Mark S. Elias, Gillian Munson, Mary G. Meeker and Alex Umansky Case Hearing Site: Number: 03-03941 Houston, Texas NATURE OF DISPUTE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Pasquale and Karen Marzullo Name of the Respondents Mark A. Michel and John E. Chapman Case Number: i-03940 Hearing Site: Chicago, Illinois NATURE OF THE DISPUTE Customers v. Associated Persons REPRESENTATION OF PARTIES Claimants Pasquale and Karen Marzullo appeared pro se. Andrew May, Esq., of the firm Lewitas and May located in Chicago