NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASErOl-01335 Chris Mangini, claimant vs. Solomon Smith Barney, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Woodtsock, VT. For Respondent appeared Kathleen M. McCarthy, Esq., in-house counsel, New York, NY. DATE FILED: March 19, 2001 CASE SUMMARY: Claimant alleged that respondent recommended stocks that were unsuitable to his investment objectives. Claimant further alleged that r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: KENNETH J. CRAWFORD, CYNTHIA A. JESSE Case Number: 03-03667 and PATRICK L. CRAWFORD, Individually and as Co-Trustees of the Patrick J. Crawford Grantor Retained Annuity Trusts #1, #2, #3, #4, #5 and #6, Hearing Site: Milwaukee, Wisconsin MICHAEL T. CRAWFORD, SAMUEL J. CRAWFORD, ELIZABETH M. FLEMING, KATHRYN D. SCHUH and MARY ELLEN TREE, Claimants, v. ' NATIONAL FINAN

06-03-2004 1)3:2Ypni FroiHtachovia Scwi'i11BS ES 4U54039SO T-227 P.002/005 F-793 06/03/2004 14:14 FA** ' NASD $002/005 AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimam; Robert W. Baird & Co, Inc. and 03-03666 Milwaukee, Wisconsin Name of Respondent Matthew Wahl Nature of the Dispute: Member vs. Associated Person. PARTIES Robert W. Baird &. Co- Inc. ("Claimant") was represented by Moira K Moran, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Don E. Nelsen, Claimant v. Piper Jaffrey & Co. (f/k/a US Bancorp Piper Jaffrey Inc.), Steven Wesley Berglund and Bradford Morgan Vorhees, Respondents Case Number: 03-03660 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Thomas D. Adams, Esq. Everett, Washington For Respondents: Robert

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dennis Higginbotton and Barbara Higginbottom, Claimants v. Morgan Stanley DW Inc., Respondent Case Number: 03-03659 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Philip M. Aidikoff, Esq. Orousha Brocious, Esq. Aidikoff &Uhl Beverly Hills, California For Respondent: Gilbert R. Serota, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03656 Elena V. Kohn Names of the Respondents Hearing Site: Atlanta, Georgia Intersecurities, Inc. Michael Newman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Elena V. Kohn, hereinafter referred to as "Claimant": Charles S. Wuest, Esq. and Debra Brewer Hayes, Esq., Woskas & Hayes, LLP,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vincent De Fina and Barbara Devine De Fina, c/f Robert UGMA, c/f Jamie UGMA } c/f Vincent UGMA, Barbara Devine De Fina IRA, Vincent De Fina IRA, and Family Partnership (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Daniel J. McMahon (Respondents) Case Number: 03-03654 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and A

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: I. Joseph Berger (Claimant) v. Joseph Shagrin, Jr. and Salomon Smith Barney Inc. (n/k/a Citigroup Global Markets Inc.) (Respondents) Case Number: 03-03652 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant I. Joseph Berger, hereinafter referred to as "Claimant": Represented by Roger W. Van

Award NASD Dispute Resolution In the Matter ot the Arbitration between: Name of the Claimant Case Number: 03-03649 Richard S. Doyle Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley DW Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Richard S. Doyle ("Doyle"), hereinafter referred to as "Claimant": Robert Wayne Pearce, Esq., Robert Wayne Pearce, P.A., Boca Raton, Florida. For Morgan Stanle

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03648 Robert J. Blair Jen N. Blair Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley DW, Inc., f/k/a Dean Witter Reynolds, Inc. Robert Baird Daniel Carnevale Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert J. Blair and Jeri N. Blair, hereina