Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Wachovia Securities, LLC Pase Number: 04-01003 Name of the Respondent Scott I. Martin Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. Claimant, Wachovia Securities, LLC, hereinafter referred to as "Claimant'', was represented by Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, Arlington, Virginia.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Bell Family Trust Names nf the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Mark K. Fischer Case Number 04-01000 Hearing Site- Raleigh, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. » REPRESENTATION OF PARTIES Claimant, Bell Family Trust, hereinafter referred to as "Claimant", was represented by C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: g r!lfljmanf Pagp "MnrnKgr* 04-00999 Brenda Hauck Name nf the Respondent Hearing Site- Charlotte, North Carolina Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. RFPRFSF1STTATTON OF PARTTFS Claimant, Brenda Hauck, hereinafter referred to as "Claimant", was represented by Jeffrey B. Musslewhite, Woska, Hayes, L.L.P., Kingwood, Texas and

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Andrew Steinke, (Claimant) vs. Boston Mutual Sales Corp., (Respondent) Case Number: 00-05644 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Andrew Steinke, hereinafter referred to as "Claimant": John N. Greenwood, Esq., a sole practitioner, Brookline, MA. Respondent, Boston Mutual Sales Corp., hereinafter referred to as "Respondent": Henry T. Goldm

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Karen Douma and Names of Respondents Piper Jaffray & Co. f/n/a U.S. Bancorp Piper Jaffray Inc., and Wayne Erwin Davis Case Number: 04-00988 Hearing Site: Omaha, Nebraska NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Karen Douma ("Claimant") was represented by Thomas S. Reavely, Esq., W

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Daniel Buhalis and Respondents UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc. and Gregory R. Wright Case Number: 04-00987 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Daniel Buhalis ("Claimant") was represented by Joseph A. Ahearne, Esq., Stark Reagan, P.C., T

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marilyn Patryla as Trustee of the Julia D. Noel Trust, and as guardian at litem for Julia Noel, an individual, Claimants v. Salomon Smith Barney Inc. n/k/a Citigroup Global Markets, Inc., Gene Stone a/k/a Chip Stone, and Toni Beck, Respondents Case Number: 04-00981 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00976 Kay A. Miller Names of the Respondents Hearing Site: Boca Raton, FL Merrill Lynch, Pierce, Fenner & Smith, Inc. Thomas Anthony Keiser Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Kay A. Miller ("Miller"), hereinafter referred to as "Claimant": Jan Douglas Atlas, Esq. and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-00974 Eugene and Jeanette Craig Name of the Respondent Hearing Site: Atlanta, Georgia A.G, Edwards & Sons, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Eugene and Jeanette Craig, hereinafter referred to as "Claimants": J. Michael Bishop, Esq., Gard Smiley Bishop & Dovin, LLP, Atlanta, Georgia. For A

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00967 Catherine Copeland IRA, Claimant v. Legg Mason Wood Walker, Inc., George Ellis McDowell, Sr., Patrick J. Turner, Respondents. ATTORNEYS: Claimant, Catherine Copeland IRA, ("Claimant"), appeared pro se, Campobello, SC. Respondents, hereinafter collectively, "Respondents": For Respondent Legg Mason Wood Walker, Inc., ("Legg Mason"), appearedD. Larry Kristinik, Esq., of the firm Nelso