Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03402 Michael G. McDonald IRA Joan A. McDonald IRA Michael G. McDonald and Joan A. McDonald Ten/Com Names of the Respondents , Hearing Site: Atlanta, Georgia Charles Schwab & Co., Inc. Steven F. Manfredonia Gary D. Rubin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Micha

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03399 David C. Brown Yukiko O. Brown Names of the Respondents Hearing Site: Tampa, Florida UBS PaineWebber Stephen Martin Wayne Dictor Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For David C. Brown, and Yukiko O. Brown, hereinafter referred to as "Claimants": Michael B.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Guy K. Van Dahm and Sharon Van Dahm JTWROS Sharon Van Dahm IRA Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Scott Keiber Case Number: 03-03398 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Guy K. Van Da

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Shapiro, Claimant v. R.M. Stark & Co., Inc., Geoffrey A. Bigley, and Michael Townsend, Respondents Case Number: 03-03397 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: James Richard Hooper, Esq. Eduardo Rodriquez, Esq. Hooper & Weiss, LLC Orlando, Florida For

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants George Wallace Tilley, Jr. Holly A, Tilley, and J&J Family Partnership, Ltd. vs. Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Incorporated and Donna McKenzie Grimm, Case Number 03-03393 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person BEEHESENTATION OF PARTIES Georg

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: William C. Marrinan, Claimant v. Morgan Stanley DW Inc., Tom Dixon, Susan Dixon, John R. McLaughlin, and Leonard Kreutner, Respondents Case Number: 03-03392 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons For Claimant: For Respondents: REPRESENTATION OF PARTIES Jeff Dennis Ferentz, Esq. JeffDennis Fere

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03389 NBC Capital Markets Group, Inc. Names of the Respondents Hearing Site: Memphis, TN John V. Ballard Stanford Group Company Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATION OF PARTIES For NBC Capital Markets Group, Inc. ("NBC"), hereinafter referred to as "Claimant": Robert Wayne McPherson,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard D. Lenard IRA, (Claimant) vs. L.H. Ross & Company, Inc., Craig Brandwein, and Frank Michelin, (Respondents) Case Number: 01-01304 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Richard D. Lenard IRA, hereinafter referred to as "Claimant": Delmer C. Gowing, III, Esq., Delmer C. Gowing, III, P.A., Delray Beach, FL. Respondents, L.H. Ross & C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Sylvia Zoslow Name of the Respondent Morgan Stanley DW, Inc. Case Number: 03-03382 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Sylvia Zoslow, hereinafter referred to as "Claimant": Jeffrey Erez, Esq., Sonn & Erez, Ft. Lauderdale, Florida. For Morgan Stanley DW, Inc. ("MSDW"), her

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Seymour Bossert and Seymour Bossert IRA (Claimants) v. Morgan Stanley DW, Inc., David Maldonado, and Jose Rivera (Respondents) Case Number: 03-03376 Hearing Site: New York, New York Nature of the Dispute: Customers v. .Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Seymour Bossert ("Bossert") and Seymour Bossert IRA ("Bossert IRA") hereinafter colle