Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Luther Kevin Hawkins (Claimant) v. RBC Dain Rauscher, Inc. and Keith Daniel Schollard (Respondents) Case Number: 04-03352 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associate Person REPRESENTATION OF PARTIES Claimant Luther Kevin Hawkins hereinafter referred to as "Claimant": Robert Bertsch, Esq., Bertsch & Associates, P.C., Por

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Islam g Robert C. Morris Case No. 01-00090 Acument Securities, Inc. (ffa/a Thomas F. White & Co., Inc.) Steven Kramer White Discount Securities U.S. Clearing, a div. of Fleet Securities, Inc. ing Site- Philadelphia, PA O Claimant Robert C. Morris ("Claimant") was represented by: Sebastian M. Rainone, Esq. of the law firm of Rainone & Associates, Philadelphia

CASE: 04-03345 Coralia Meruleo, Claimant v. Morgan Stanley DW, Inc. and William S. Lardin, Respondents ATTORNEYS: ~ ~ ~ ~ " For Claimant, Coralia Meruleo, ("Claimant"), appeared David M. Kassell, Esq. of The Roth Law Firm, PLLC, New York, NY. Respondents, Morgan Stanley DW, Inc. and William S. Lardin, (collectively "Respondents"), appeared through in-house counsel, Harrison A. Kaufmann, New York, NY. NATURE OF DISPUTE: Customer v. Member

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Thomas D. East and Names of Respondents Morgan Keegan & Company, Inc., and John Sheldon Cotton Case Number: 04-03344 Hearing Site: Louisville, Kentucky NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Thomas D. East ("East" or "Claimant") was represented by James A. Shuffett, Esq., Lexington, Kentucky.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Lonnie F. Newsome, IRA Name of the Respondent Wachovia Securities, LLC, f/k/a First Union Securities, Inc. Case Number: 04-03343 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Lonnie F. Newsome, IRA, hereinafter referred to as "Claimant": Adam S. Doner, Esq., Gordon & Doner, P.A., Palm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03337 Wachovia Securities, LLC Name of the Respondent Hearing Site: Tampa, Florida Andrew Finder Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, Arlington, Virginia. Andrew Finder

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03332 Linda K. Dressel Names of the Respondents Hearing Site: New Orleans, LA Edward D. Jones & Co., L.P. JohnD. Fraser Nature of the Dispute: Customer vs. Member and Associated Person, REPRESENTATION OF PARTIES For Claimant Linda K. Dressel ("Dressel"), hereinafter referred to as "Claimant": George J. Forest, Jr. and Craig Little, Es

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William R. Kranz and Margaret R. Kranz (Claimants) v. Securities Service Network, Inc., Alexander Chase Company, A. CH. Securities, Inc., David Svete, and Edmund B. Pearson (Respondents) Case Number: 04-03324 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimant William R. Kranz ("W. Kranz") and Marg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ryan Beck & Co., Inc. (Claimant) v. Steven Souhrada (Respondent) Case Number: 04-03320 Hearing Site: Newark, New Jersey Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES •» Claimant Ryan Beck & Co., Inc., hereinafter referred to as "Claimant": David W. Schmidt, Esq., Lubiner & Schmidt, Cranford, NJ. Respondent Steven Souhrada hereinafter referred t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03317 Darryl L. Morrow, Claimant v. Foliofh Investments, Inc., Respondent ATTORNEYS: Claimant Darryl L. Morrow ("Claimant") appeared pro se, C Company, 16 l Engineer Battalion, Unit 92889 APO AE. For Respondent Foliofh Investments ("Respondent") appeared George D. Wilson, Vienna, VA. NATURE OF DISPUTE: Customer vs Member. DATE FILED: April 22, 2004. CASE SUMMARY: Claimant all