STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Stephen and Judith Jackson and Name of Respondents UBS Financial Services Inc. FBD Investment Services. Inc. NFP, Securities, Inc. Michael Richard Juffa Michael Fred Zanders Michael S. Underwood 03-02821 Kansas City, Missouri Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Step

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Rashelle Cirigliano IRA, Claimant v. American Express Financial Advisors, Inc., Respondent Case Number: 01-01224 Hearing Site: San Francisco, California For Claimant: For Respondent: REPRESENTATION OF PARTIES Michael A. Peritore, Esq. Law Offices of Michael A. Peritore Old Sacramento, California Samuel Y. Edgerton, ffl, Esq. James K. Autrey, Esq. Nash &

May-19- 2005 4:Q4PM NASD Ho-9936 P- 2 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant _ __~, Case Number; 03-02817 Arthur Campbell Name of the Respondent _ Hearing Site: Tampa, Florida Prudential Securities, Inc. : n/k/a Prudential Equity Group, LLC Nature of the Dispute: Associated Person vs. Member. REPREvSENTATIN OF For Arthur Campbell, hereinafter referred to as "Claimant": Elihu H. Herman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimant P.asfi>Jiimfa»r 03-02814 The Edward Mellon Trust, ' • By and Through Its Trustee, M. Richard Mellon , . g nf the Respondents Hearing Site- Pittsburgh, Pennsylvania UBS Paine Webber, Inc. • ' Gary Lyon Otto Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRF,SF,NTATTON OF PARTTFS Claimants, The Edward Mellon Trust, By and Through I

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; George A. Nolan and George A. Nolan TTEE Nolan Family Trust, Claimants v. A.G. Edwards & Sons, Inc., Marianne G. Depetris and Paul A. Kromhout, Respondents Case Number: 03-02809 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Timothy A. Canning, Esq. Novato, California

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02801 Robert L. Kollar, Claimant vs. Jack Lentz, Mark Albers, and Morgan Stanley Dean Witter, Inc. f/k/a Dean Witter Reynolds, Inc., Respondents. ATTORNEYS: For Claimant, Robert L. Kollar, ("Claimant") appeared John M. Lotz, Esq., Aliso Viejo, CA. For Respondents, Jack Lentz, Mark Albers, and Morgan Stanley Dean Witter, Inc., f/k/a Dean Witter Reynolds, Inc., (collectively "Respondents") app

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02789 Stephen C. Francis Name of the Respondent Hearing Site: Atlanta, Georgia Salomon Smith Barney, Inc. doing business as Robinson Humphrey Company, LLC Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Stephen C. Francis, hereinafter referred to as "Claimant": Richard E. Miley, Esq., North Augus

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-02788 Edward and Karen Pimentel JTWROS Edward Pimentel IRA Names of the Respondents Hearing Site: Orlando, Florida Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. Adam Campbell JackB. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Edward and

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hillary Hayden, Claimant v. UBS PaineWebber, Inc. n/k/a UBS Financial Services, Inc., William N. Keller, Robertson Stephens, Inc., London Pacific Securities, Inc., Lawrence G. Gray, Sr., and Joseph J. Piazza, Respondents Case Number: 03-02786 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Members and Associated Persons REPRESENTATION OF PARTIES

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Boberschmidt Family Trust UTD 5/17/85, John R. Boberschmidt, Mary Ellen Boberschmidt, Meany Trust UA dtd 6/28/88, Virginia L. Alexander Trust dtd 4/20/90, Edwin & Catherine Farrell Trust 7/15/85, Suzanne Jeffers, Alice Vivian Gregg, William J. Gregg, Hassan A. Ebrahimi, Karen Kiefer Family Trust UA dtd 2/26/97, Karen S. Kiefer DO Money PPS, Karen S. Kiefer, Karen S. Kiefer Cu