Award NASD Dispute Resolution In the Matterjrfthe Arbitration Between: Name of the Claimant Case Number: 04-00249 UBS Financial Services, Inc. i Names of the Respondents Hearing Site: Memphis, Tennessee John D. Santi, Sr. Jonathan A. Barrack Jonathan Bell Kathy H. Briner Jason J. Fair Larry J. Goldsmith Charles G. Hughes Stanford Group Company Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATION

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Beverly Brean Name of the Respondent American Express Financial Advisors, Inc. Case Number: 04-00246 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Beverly Brean, hereinafter referred to as "Claimant": Scott L. Silver, Esq., Blum, Silver & Schwartz, LLP, Plantation, Florida.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Ronald Doornbosch, individually and as Trustee of the Doornbosch Family Trust Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Christopher Hall Case Number: 04-00237 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ronald Doornbos

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Kenneth A. Woloszyk and Roxanna ("Roxanne") M. Woloszyk and Case Number: 04-00231 Hearing Site: Troy, Michigan Respondents •,' ' ' Fifth Third Securities, Inc.', Morgan Stanley DW, Inc., Jacqueline a/k/a Jaquline A. Antone, James Gordon Riley, and Theodore J. Vogt, Jr. ' _^_ . NATURE OF DISPUTE Customers v. Members and Associated Persons .. ' •

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Anne F. Dechant, individually and as Trustee of the Anne F. Dechant Trust v. 04-00230 Denver, Colorado Respondents Wells Fargo Investments, LLC and Judith Ann Stevens Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Anne F. Dechant, individually and as Trustee of the Anne F. Dechant Trust ("Claimants") were repre

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00229 Randall Hough Names of the Respondents Hearing Site: Atlanta, Georgia Thomas R. Hartley Fran B. Hartley Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES For Randall Hough, hereinafter referred to as "Claimant": R. Scott Tewes, Esq., Tewes Law Group, LLC, Duluth, Georgia. For Thomas

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Denise M. Addicks as Successor Trustee of The 1999 Demaret Family Trust, Claimant v. Citicorp Investment Services f7k/a Cal Fed Investments and Carlos G. Macias, Respondents Case Number: 04-00228 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Edward W. Russey, III, Esq. Law

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nirrnhpr* 00-05565 Angelo Salcedo Melvin Gary Carolyn Clough Frieda D. Joyce P! nf the* RpgpnnHfMitrThirH-Parfy Plaimanf Hearing Site' Washington, DC Capital Brokerage Corporation nf thp. Third-Part William J. Guy Candace A. Bloodsworth PARTTFS Claimants, Angelo Salcedo ("Salcedo"), Melvin Gary ("Gary"), Carolyn Clough ("Clough") and Frieda D. Joyce ("Joy

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bonnie H. Jaffe, Claimant v. Phillip D. Biffle and Edward D. Jones & Co., L.P., Respondents Case Number: 00-00557 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Bonnie H. Jaffe In Pro Per Los Angeles, California For Respondents: Lisa A. Nielsen, Esq. Greensfelder, Hemker & Gale, P.C. St. Louis, Missouri CASE INFORMATION Statem

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph A. Rydings, Claimant v. Donald J. Kellen and Bear Stearns & Company, Inc., Respondents Case Number: 00-00066 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jospeh A. Rydings In Pro Per Redondo Beach, California For Respondents: Michael M. Gless, Esq. Keesal, Young, & Logan Long Beach, California CASE INFORMATION Sta