Award NASD Dispute Resolution In the Matter of the Arbitration Between: Betty Anne Buchanan on behalf of the Betty Anne Buchanan IRA and as trustee for The Enoch & Betty Buchanan Revocable Trust, Claimants v. Citigroup Global Markets, Inc., Respondent Case Number: 04-02123 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: William P. Torngren, Esq. Law Offices of William P. Torng

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jack Bums, trustee of Jack Burris IRA and Mary Burris, Claimants v. Charles Schwab & Co., Inc., Mark D. Babakan and Randall L. Klassen, Respondents Case Number: 04-02122 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Elizabeth Lowery, Esq. Fields, Fehn & Sherwin Los Angeles, Cal

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Ward and Sharon Bennett Names of the Respondents A.G. Edwards & Sons, Inc. Merrill Lynch, Pierce, Fenner & Smith, Inc. Robert Wood Case Number: 04-02107 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ward and Sharon Bennett, hereinafter collectivel

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Denise Praizler, Individually, and on behalf of the Denise Praizler IRA and Denise Praizler RRA Accounts v. 04-02103 Denver, Colorado Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Nature of Dispute: Customers v. Member REPRESENTATION OF PARTIES Denise Praizler, Individually, and on behalf of the Denise Praizler IRA and Denise Praizler ERA Acco

Revised Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: riaimnnt Pagp Numhftr 04-02100 Zoe G. Mavrellis g of the RpgpnnHentg Hearing Site* Washington, D.C. Merrill Lynch, Pierce, Fenner & Smith, Inc. Eric MacDonnell Nature of the Dispute: Customer v. Member and Associated Person. RFPRFSF.NTAT10N OF PAHTTFS Claimant, Zoe G. Mavrellis, hereinafter referred to as "Claimant", was represented by W. Scott Greco,

k* * Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert L. Guzzino, Claimant v. Fordham Financial Management, Inc., Respondent Case Number: 00-05768 Hearing Site: New Orleans, Louisiana REPRESENTATION OF PARTIES For Robert L. Guzzino, "Claimant": Jack G. Wheeler, Esq., Fraser, Morris & Wheeler, L.L.P., Lake Charles, Louisiana. For Fordham Financial Management, Inc., "Respondent Fordham": Erik P. Weingold, Esq. and

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nflmft nfthe riaimant Case Number: 04-02100 Zoe G. Mavrellis Names nf tine. T? fisponHantg Hearing Site- Washington, D.C. Merrill Lynch, Pierce, Fenner & Smith, Inc. Eric MacDonnell Nature of the Dispute: Customer v. Member and Associated Person. KF.PRF.SF.NTATTON OF PARTTF.S Claimant, Zoe G. Mavrellis, hereinafter referred to as "Claimant", was represented by W.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Robert A. and Lynn E. Sagal and Names nf Respondents Raymond James Financial Services, Inc., _and Raymond James Financial, Inc. Case Number: 04-02099 Hearing Location: Houston, Texas NATTT Customers v. Member Firm and Non-Member O Robert A. and Lynn E. Sagal ("Claimants") were represented by David Bissinger, Esq., Wilson Fulk

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Morgan Keegan & Company, Inc. and Name of Respondent Wallace Bradley Minton Case Number: 04-02097 Hearing Site: Louisville, Kentucky NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Morgan Keegan & Company, Inc. ("Claimant" or "Morgan Keegan") was represented by Shea O'Brien Hicks, Esq., of Morgan Keegan & Company,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Bruce Houman, MD APC Profit Sharing Plan n/k/a The Urology Center of So. California Retirement Plan, Claimant v. Morgan Stanley DW Inc. and Joshua Wilson, Respondents Case Number: 04-02095 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Elizabeth Lowery, Esq. Fields, Fehn & Sherwin