Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nelson Bunker Hunt, (Claimant) v. Gilford Securities, Inc., Otis Bradley, and Steven Fisher, (Respondents) Case Number: 04-03316 Hearing Site: Dallas, TX REPRESENTATION OF PARTIES Claimant, Nelson Bunker Hunt ("Hunt"), hereinafter referred to as "Claimant": Richard A. Sayles, Esq., and Will Snyder, Esq., Sayles & Werbner, Dallas, TX. Respondents, Gilford Securities, I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: g nf the riaimants Case Number: 04-03314 John and Margaret Rolph, Leonhardt M. Scheuermann, John C. Gilbert IRA, Linda Leitschuh IRA, Linda Leitschuh as Personal Representative of the Estate of Robert Leitschuh, Helen B. and Stephen L. Saradin, John Edward Shea, Sheila Braniff Siford IRA Names nf the RpspnnHents Hearing Site: Baltimore, Maryland First Union Securities, Inc.,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James Guardino, (Claimant) vs. Prudential Securities, Inc. and Eric L. Diamond, (Respondents) Case Number: 01-00086 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, James Guardino, hereinafter referred to as "Claimant": Lawrence Mahon, Esq., and Scott F. Guardino, Esq., Mahon, Mahon & Kerins, LLP, Garden City, NY. Respondents, Prudential Securities, Inc. ("

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03313 Robert A. Payne, Rollover IRA Names of the Respondents Hearing Site: Atlanta, Georgia A.G. Edwards & Sons, Inc. Lee Dudley Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert A. Payne, Rollover IRA, hereinafter referred to as "Claimant": Edward J. Dovin, Esq., Gard Smiley Bishop

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Estate of Robert Boelio, Claimant v. David S. Fernquist and Fernquist Capital Advisors, Inc., Respondents Case Number: 04-03299 Hearing Site: Los Angeles, California Nature of the Dispute: Non-Customer Estate v. Associated Person and Non-Member REPRESENTATION OF PARTIES For Claimant: Dennis E. Moffett, Esq. The Law Offices of Dennis MofFett Detroit, Michigan

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03285 Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Incorporated Robert Bos Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Harold Greene and Deborah Greene, hereinafter collectively referred to as "Claimants": Darren C. Blum,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC, Claimant v. James R. Phillips, Respondent Case Number: 04-03279 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy N. Will, Esq. Albert & Will, LLP Torrence, California For Respondent: James R. Phillips In Propria Persona Sherman Oaks, California CASE I

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Name of Respondent Barbara R. Kaplan 04-03274 Chicago, Illinois Nature of the Dispute: Member vs. Associated Person. CATION OF PJ Morgan Stanley DW Inc. ("Claimant") was represented by Diane C. Fischer, Esq., Ronald P* Kane, Esq. and Thomas A. Volz, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Barbara R. Kaplan ("Respondent") was represen

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03271 Sally R. Papreck, Claimant v. Waddell & Reed, Inc., United Investors Life Insurance Co., and Carroll Wilkerson, Respondents ATTORNEYS: Claimant Sally R. Papreck ("Claimant") appeared pro se, Columbia, MO. For Respondents Waddell & Reed, Inc. and Carroll Wilkerson appeared Carrie J. Bechtold, Esq. of the firm Blackwell Sanders Peper Martin, LLP, St. Louis, MO. For Respondent United

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03269 Rhoda and Raymond Krell, Claimants v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Steve Gribben, Respondents ATTORNEYS: Claimants, Rhoda and Raymond Krell ("Claimants"), appeared pro se, Brooklyn, NY. For Respondents, Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Stephen Gribben, ( collectively "Respondents") appeared Ann Parry, Esq., in-ho