Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-02317 Walli Riechert Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith Incorporated Wanda Mayhew Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Walli Riechert, hereinafter referred to as "Claimant": Darren C. Blum, Esq., Blum, Silver

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant UBS Financial Services Inc. and 04-02304 Phoenix, Arizona Name of Respondent Christopher E. Chen Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES UBS Financial Services Inc. ("Claimant") was represented by David L. Becker, Esq., Davidson & Grannum, LLP, Northvale, New Jersey. Christopher E. Chen ("Respondent") appeare

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Case Number: 01-00001 Dennis E. Hudson & Marie R. Hudson, JTTEN and Dennis E. Hudson, IRA Names of Respondents Hearing Site: Tampa, Florida Dean Witter Reynolds, Inc., David C. Brown, and Kenneth H. Kubik REPRESENTATION OF PARTIES Dennis E. Hudson & Marie R, Hudson, JTTEN, and Dennis E. Hudson, IRA, hereinafter collectively referred to as "C

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Morgan Stanley DW, Inc. and Case Number: 04-02302 Hearing Site: Dallas, Texas Name of Respondent Toivo V. Glidden NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Morgan Stanley DW, hie. ("Claimant") was represented by Diane C. Fischer, Esq., Ronald P. Kane, Esq. and Jennifer L. Klebes, Esq., Kane & Fischer,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: West Park Capital, Inc., Claimant v. Francis J. Coady, Respondent Case Number: 04-02296 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Anthony C. Pintsopoulos West Park Capital, Inc. Deerfield Beach, Florida For Respondent: Francis J. Coady In Propria Persona Malibu, California CASE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Leonard E. Bellinson, Individually and as Trustee of the Leonard E. Bellinson Trust Dated December 6,1982 and Eleanor Bellinson, Individually as a Trust Beneficiary, Claimants v. Wachovia Securities, LLC, Round Hill Securities, Inc., and Wachovia Securities Financial Network, LLC, Respondents Case Number: 04-02295 Hearing Site: San Diego, California Nature of the Dispute: Custom

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Merrill Lynch, Pierce, Fenner & Smith Incorporated, Robert Milligan and Gregory Pease, Claimants vs. Carl Weeder and Amelia Weeder, Respondents Case Number: 04-02294 REPRESENTATION OF PARTIES Claimants, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Robert Milligan and Gregory Pease, hereinafter collectively referred to as "Claimants" appeared through Erika Schneider

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith Incorporated and Joan Most, Claimants vs. Marilyn Pfeiffer, Respondent Case Number: 04-02293 REPRESENTATION OF PARTIES Claimants, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Joan Most, hereinafter collectively referred to as "Claimants" appeared through Thomas L. Weisenbeck, Esq., of the firm Dressier, Amery & Ross, P.C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Purshe Kaplan Sterling Investments (Claimant) v. Fred Alger & Company, Inc. (Respondent) Case Number: 04-02291 Hearing Site: Albany, New York Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES Claimant Purshe Kaplan Sterling Investments ("PKS") hereinafter referred to as "Claimant": David M. Purcell, Esq., Purshe Kaplan Sterling Investments, Albany, NY. Responde

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants John Joppich and Kathy Joppich and Respondents Wachovia Securities, LLC and Mark T. Gierl Case Number: 04-02277 Hearing Site: Milwaukee, Wisconsin NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES John Joppich and Kathy Joppich ("Claimants") were represented by James Bolt, Esq., located in New Berlin, Wisconsin.