Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul & Linda Forney and Paul Forney IRA (Claimants) v. Edward D. Jones & Co. and James T. Hershman (Respondents) Case Number: 04-05525 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Paul Forney and Linda Forney (" Forney") and Paul Forney IRA ("Forney IRA") hereinafter collectively referred to as

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants John Sharp lunette Sharp Name of the Respondent Asset Management Securities Corp. Case Number: 04-05521 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For John Sharp and Junette Sharp, hereinafter collectively referred to as "Claimants": Jeffrey Erez, Esq. and Jeffrey R. So

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christine Jennings, Claimant v. Morgan Stanley DW Inc. and Eric P. Krawitt, Respondents Case Number: 04-05513 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Christine Jennings In Propria Persona Hermosa Beach, California For Respondent: Christine A. Pham, Esq. Morgan Stanley DW

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Wilshire Securities, Inc. (Claimant) vs. Vanguard Capital, Gregory Serras, Brian Zaid, Alexys McKenzie, Joseph Ragozzino, John Kayantas, Dimitry Metelkin, Steve Feratovic, Anthony Donaruma, Joquinn Sadler, and Constantine Floropoulos (Respondents) Case Number: 04-05511 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member and Associated Persons. REPRESENTA

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Phillip B. Murphy and Names of Respondents Morgan Keegan & Company, Inc., and John Sheldon Cotton Case Number: 04-05509 Hearing Site: Louisville, Kentucky NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Phillip B. Murphy ("Murphy 11 or Claimant") was represented by James A. Shuffett, Esq., Lexin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Diana Lyn Bowles Nicholas, Claimant v. Alan Marcum and Northeast Securities, Inc., Respondents Case Number: 04-05506 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Associated Person and Member REPRESENTATION OF PARTIES For Claimant: Leslie Schwaebe Akins, Esq. Catherine L. Bailey, Esq. Akins & Villavicencio, LLP Carlsbad, California For Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Michael and Cynthia Pflaumer JTWROS Names of the Respondents Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. Jack B. Grubman Case Number: 04-05505 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Michael and Cynthia Pflaumer JTWROS, hereinafter c

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-00240 Bates Securities, Inc. Name of the Respondents Hearing Site: Chicago, Illinois First Union Securities, Inc. and Douglas E. Loner REPRESENTATION OF PARTIES Claimant Bates Securities, Inc. ("Bates"): David A. Genelly, Esq. of the firm Vanasco Genelly & Miller located in Chicago, Illinois. Respondents First Union Securities, Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nam** nf thfi Claimant Casft Number 04-05504 Barry Cohen Names r>f thft Respondents Hearing Site 1 Philadelphia, PA FFP Securities, Inc. FFP Advisory Services, Inc. First Financial Planners Nature of the Dispute: Customer vs. Member and Non-Members. RPPRFSFNTATTOM OF PARTTFS Claimant, Barry Cohen ("Claimant"), was represented by William P. Marshall, Esq., Law Off

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Page Niirnhfir 04-05503 Ronald A. Graybill IRA Margaret A. Graybill individually and o/b/o her IRA e of the ResponHmt N faring Site- Baltimore, Maryland Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customers vs. Member. RFPRF.SF.NTATION OF PARTTRS Claimants, Ronald Graybill IRA and Margaret Graybill individually and o/b/o her IRA,