NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03505 Kathryn A. Jones, Claimant v. Billy J. and Susan G. Owens, Respondents. ATTORNEYS: For Claimant, Kathryn A. Jones, ("Claimant"), appeared Brian D. Donnelly, Morristown, NJ. For Respondents, Billy J. and Susan G. Owens, ("Respondents"), appeared Edward A. McConwell, Esq., Mission, KS. NATURE OF DISPUTE: Associated Person v. Customers DATE FILED: May 13, 2003 CASE SUMMARY: Claima

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number* 03-03501 Lawrence S. and Susanne W. Close Names nf fhp RespnnHffnts Hearing Site- Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Chris A. Barnish Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTTFS Claimants, Lawrence S. and Susanne W. Close ("Claimants"), were represented by

0&V24/2004 14:57 FAX 312 893 4407 N A S D 1002/013 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 03-03497 Dr. V. John Wind and Gloria Wind, Trustees of the V. John and Gloria Wind Living Trust Dtd 10/7/99 Name of the Respondent Hearing Site: St. Louis, Missouri' Merrill Lynch Pierce Fenner & Smith, Inc. Nature of the Dispute: Customers vs. Member Firm REPRESENTATION OF

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Barry N. Link and World Equity Group, Inc. and Case Number: 03-03493 Hearing Site: Chicago, Illinois Name of Respondent Pacific Life Insurance Co. NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES Bany N. Link ("Link") and World Equity Group, Inc., ("WEG") oF^'Claimants 11 ) were represented by Albert Watkins of Muchnick Dunne

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Martin A. Klein, ffl, Claimant v. Prudential Securities, Inc., Respondent Case Number: 01-01313 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Martin A. Klein, ffl: J. Dorian Sonnenschein, Esq. Law Offices of J. Dorian Sonnenschein Irvine, California For Respondent Prudential Securities, Inc.: William M. Cassarini, Esq. Prudential Secu

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Names of Respondents Wachovia Securities, LLP, and Ian Hurwitz Case Number: 03-03491 Hearing Site: Houston, Texas NATURE OF CASE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Jerry Mendelson and Plum Glen Partners LP ("Claimants 11 ) were represented by Annette Henry, Esq., Houston, Texas. Wachovia Se

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Full Service Travel Inc. v. 03-03490 Minneapolis, Minnesota Respondents Piper Jaffray & Company and James Broms Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Full Service Travel Inc. ("Claimant") was represented by JJ. Choromanski, Plymouth, Minnesota. Piper Jaffray & Company ("Piper Jaffray") and James Broms ("Broms"),

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant James W. Falanga Names of the Respondents Morgan Stanley Dean Witter, Inc. James Musso Case Number: 03-03489 Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For James W. Falanga ("Falanga"), hereinafter referred to as "Claimant": Bruce V. Schewe, Esq., Phelps Dunbar LLP

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03488 Virginia B. Flynn, Individually and as Trustee of the Virginia B. Flynn Revocable Trust Names of the Respondents Hearing Site: Orlando, FL A.G. Edwards & Sons, Inc. Kerry Constantine Geaneas Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Virginia B. Flynn, Individ

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Virginia B. Martin (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Jon K. Finstrom (Respondents) Case Number: 03-03487 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Virginia B. Martin ("Martin") hereinafter collectively referred to as "Claimant": Sheldon H. Go