Award NASD Dispute Resolution In the Matter of the Arbitration Between: Earl J. Bauer and Rita Ann Bauer, as Trustees of The Bauer Family Trust " 04-00523 Edward D. Jones & Co, and Michael Allan Goethals Hariris PJt fi " Dallas, Texas Public Customer v. Member Firm and Associated Person o Claimant Earl J. Bauer and Rita Ann Bauer, as Trustees of The Bauer Family Trust, hereinafter referred to as "Claimants": Mark A. Bukaty, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thft Tlai'manf f!agft Niwnhftr- 04-00511 Martha L . Bauer < • , - . • . ftQ nf the "RfispnnHi^ntfi Hearing Site- Philadelphia, PA Raymond James Financial Services, Inc. Devon Financial Group, Ltd. Charles DiPuppo Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. RFPRFSFNTATION OF PARTIES Claimant, Ma

Award NASD Dispute Resolution Dr. Vincent Genti Elsoffer, and AndW| Case Number: 00-H Jrlbitration Between: >, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Malcolm jlsoffer, (Respondents) Hearing Site: Cleveland, Ohio Claimant, Dr. Esq., Hermann, (j, Respondents, Me Elsoffer"), and "Respondents": B| Previously repre& Merrill Lynch, Pi Statement of Claj Claimant signed Joint Statement o: Merrill

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00510 Merrill Lynch, Pierce, Fenner & Smith, Inc. and Adam D. Uhlan, Claimants v. Merle A. Wood, ffi, Respondent. ATTORNEYS: For Claimants, Merrill Lynch, Pierce, Fenner & Smith, Inc. and Adam D. Uhlan, ("Claimants"), appeared Jason S. Haselkorn, Esq., of the firm Boose Casey Cittin Lubitz Martens McBane & O'Connell, West Palm Beach, FL. For Respondent, Merle A. Wood, HI, ("Respondent"),

NASI> DISPUTE RESOLUTION AWARD NASD DISPUTE HEsoLtrnoN , CASE: 0400507 Harold E- Holzcr and ComsudEo Holzer JTWROS, Claimant vs. Citigioup Global Markets, Inc. £(k/a Salomon Smith Bamey, Inc. and Jack B. Grubman, Respondents ATTORNEYS: \ " ~~ For Claimant Harold E. Holzcr and Coosuelo Holzer JTWROS, f^Claimaalf 9 ), appeared Marshall P. Richer, Esq., Finkdstedn & Partners, Albany, NY. For Respondents, Citigroup Global Mazkete, inc ffk/a. Salomon

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00506 James A. Gulledge, Claimant v. Morgan Keegan & Company, Inc., Respondent ATTORNEYS: Claimant, James A. Gulledge, ("Claimant"), appeared pro se, Shreveport, LA. Respondent, Morgan Keegan & Company, Inc., ("Respondent"), appeared through in-house counsel, Shea O'Brien Hicks, Esq., Memphis, TN. NATURE OF DISPUTE: Customer vs. Member ~ " " DATE FILED: January 26, 2004. CASE SUMMARY

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marguerite Ryan (Claimant) v. Anthony Otto DeGregorio, Sr. (Respondent) Case Number: 04-00504 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant Marguerite Ryan ("Ryan") hereinafter referred to as "Claimant": Virginia K. Sourlis, Esq., Red Bank, NJ. Respondent Anthony Otto DeGregorio, Sr. ("DeGregorio") here

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laurel Kerr (Claimant) v. Advest, Inc. and Paul Hipsky (Respondents) Case Number: 04-00501 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Laurel Kerr ("Kerr") hereinafter referred to as "Claimants": Marc Bogatin, New York, NY. Respondent Advest, Inc. ("Advest"): James S. Rollins, Bin

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-00496 Edwin B. Clarke Gail N. Clarke Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley Dean Witter PaulRuthfield Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Edwin B. Clarke and Gail N. Clarke, hereinafter collectively referred to as "Claimants":

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Charles B. and Elizabeth M. James Name nf the Respondent UBS Financial Services, Inc. CaseNnmher- 04-00486 Hearing Site! Charlotte, North Carolina Nature of the Dispute: Customers vs. Member. KFPRRSKNTTATTON OF PARTTFS Claimants, Charles B. and Elizabeth M. James, hereinafter collectively referred to as "Claimants", were represented by Sarah G.