Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael D. Rose (Claimant) v. Credit Suisse First Boston Corporation (Respondent) Case Number: 03-03615 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Michael D. Rose ("Rose") hereinafter referred to as "Claimant": Douglas E. Szulman, Esq., Law Office of Douglas E. Szulman, P.C., New York, NY. Respondent C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: THOMAS S. CROW, DORIS B. CROW, THE DORIS B. CROW REVOCABLE TRUST, THE THOMAS S. CROW REVOCABLE TRUST, AND THE CROW 1999 IRREVOCABLE TRUST, (Claimants) vs. MERRILL LYNCH PIERCE, FENNER & SMITH INCORPORATED AND PAUL A. LINDSEY, (Respondents). Case Number: 03-03612 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESEN

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE-.01-01327 Ameritrade, Inc., claimant vs. Magdy Ezzat, respondent. ATTORNEYS: For Claimant appeared James J. Vihstadt, in-house counsel, Bellevue, NE. Respondent did not submit a response to the Statement of Claim. DATE FILED: March 16, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the debit balance in his margin account. Claim Data Award Data Claim: $5,970

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Monica Triozzi (Claimant) v. Heights Partners, Inc., Richard Polatchek, Lawrence Polatchek, and James Pappas (Respondents) Case Number: 03-03609 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Monica Triozzi ("Triozzi") hereinafter referred to as "Claimant": Martin I. Kaminsky, Esq., P

02/06/2004 16:08 FAX NASD REGULATION 1005 NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03608 UBS PaineWebber, Inc., Claimant v. Chad Brown, Respondent. ATTORNEYS: For Claimant, UBS PaineWebber, Inc., ("Claimant"), appeared Lisa A. Catalano, Esq., Northvale, NJ. Respondent, Chad T. Brown, ("Respondent"), did not respond to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 16, 2003 CASE SU

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jorge Montane, Montane Family LLC, Theodore Okazaki, Kazuyo Okazaki, Ronald Fair, and Diane Fair, Claimants v. Morgan Stanley Dean Witter (n/k/a Morgan Stanley DW Inc.), UBS Painewebber Inc. (n/k/a UBS Financial Services Inc.), and Steven A. Hild, Respondents Case Number: 03-03604 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Members and Associated Person

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles E. Dunbar and Lynda N. Dunbar, Claimants \. Morgan Stanley DW Inc. and Kirk F. Stauffer, Respondents Case Number: 03-03603 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Mitchell S. Ostwald, Esq. Law Offices of Mitchell S. Ostwald Sacramento, California F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the f!1flfmants Gary M. Stewart Christopher R. Stewart Robert Stewart Name nf the Wachovia Securities Financial Network, Inc. fk/a First Union Securities Financial Network, Inc. Pass Number- 03-03602 Hearing Site: Richmond, Virginia Nature of the Dispute: Associated Persons vs. Member. RFPKFSFNTATTON OF PAKTTRS Claimants, Gary M. Stewart, Christopher

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Tlai'mant Case Number: 03-03600 Verne M. Keefer, individually and on behalf of Verne M. Keefer, IRA Names nf the Respondents Hearing Site: Norfolk, Virginia FFP Securities, Inc. First Financial Planners, Inc. FFP Advisory Services, Inc. Tracy Whited Ronald Whited Nature of the Dispute: Customer v. Member, Non-Members and Associated Persons.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: George Sinel and Bonnie Sinel (Claimants) v. Morgan Stanley DW, Inc. and Jason Mininger (Respondents) Case Number: 03-03597 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants George Sinel ("G. Sinel") and Bonnie Sinel ("B. Sinel") hereinafter referred to as "Claimants": Wayne M. Josel, Esq., Kaufm