AWARD NASD DISPUTE RESOLUTION, INC. NASD Case Number: 01-01289 In the Matter of the Arbitration Between: DOUGLAS L. WILSON, Claimant, v. AMERICAN INVESTMENT SERVICES, INC., and JOSEPH HONINGS, Respondents. Representation of Parties Douglas L. Wilson, ("Claimant") was represented by James True, Esq., Aspen, Colorado. American Investment Services, Inc., and Joseph Honings, (Respondents) were represented by Terry Guy Shipley, Esq., Norman,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE; 03-03259 Camille T. Davis, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Camille T. Davis, ("Claimant"), appeared Wm. Jemison Minis, Jr., Esq. of the Law Offices of Levin, Papantonio, Thomas et al, Pensacola, FL., and Hooper & Weiss, L.L.C., Orlando, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared A. Inge

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Elliot and Joy Denniberg Elliot Denniberg Joy Denniberg Joy Denniberg, as custodian for Alan Denniberg Denniberg Advertising Inc. Denniberg Advertising Inc. Defined Benefit Plan Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. Donald Robbins Case Number: 03-03257 Hearing Site: Boca Raton, Florida Nature

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Casp! Number 03-03253 Richard A. Cooter Edward J. Cooter Trust Name of the- RpqprmHpnt Hearing Site* Washington, DC Morgan Stanley DW, Inc. David Parent Nature of the Dispute: Customer vs. Member and Associated Person. RFPRF.SKNTATTON OF PARTIES Claimants, Richard A. Cooter ("Cooter") and the Edward J. Cooter Trust (the "Trust"), hereinafter col

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of fh* riaimant fj»sft Nnmher- 03-03252 Carolyn C. Tyson Names of the Respondents Hearing Site: Raleigh, NC Triad Advisors, Inc. Richard A. Corley Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Carolyn C. Tyson, hereinafter referred to as "Claimant", was represented by Andrew O. Whiteman, Esq., Hartzell & Whitema

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03245 Gertrude Lillian Berndt, Claimant v. Susan R. Youngsman, Respondent. ATTORNEYS: Claimant, Gertrude Lillian Berndt, ("Claimant"), appeared pro se, Seattle, WA. * \ For Respondent, Susan R. Youngsman, ("Respondent"), appeared Kavita Amar, of the firm Davis Wright Tremaine LLP, Seattle, WA. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: May 2, 2003 CASE SUMMARY

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration between Names of Claimants Luther H. Soules III and The Luke Merle Soules Family Foundation and Case Number: 03-03240 Hearing Location: Houston, Texas Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Merrill Lynch Asset Management, Merrill Lynch Investment Managers, LP, and Tony D. Boykin NATURE OF DISPUTE Claimants v. Member Firm, Non-Memb

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants LGG Enterprises d/b/a USA Auto Collision Center d/b/a USA Auto Collision CTR and Lorenzo Gonzalez and Case Number: 03-03238 Hearing Site: Houston, Texas Name of Respondent Prudential Equity Group, Inc. NATURE OF DISPUTE Customers v. Member Firm REPRESENTATION OF PARTIES LGG Enterprises d/b/a USA Auto Collision Center d/b/a USA Auto Collision CTR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 03-03234 Anthony L. Arakkal and Bridget Arakkal, Name of the Respondents Hearing Site: St. Louis, Missouri Citigroup Global Markets, Inc., Richard J. Conway, Robert A. Wilson and Sandford I. Weill Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Anthony L. and Bridget Arakkal (the "Arakkals"), her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Citigroup Global Markets, Inc. f/k/a/Salomon Smith Barney, Inc. Name nf the Respondents John S. Kuhn, Sr. and Wachovia Securities Financial Network Case Number: 03-03230 Hearing Site: St. Louis, Missouri NATTTttl? OF mSPTTTF. Member Firm vs. Member Firm and Associated Person OF PAKTTFS Charles A, Siege], HE, Esq. of the law firm Seigel &