Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-02726 Dorothy M. Carrothers Lanson L. and Dorothy Carrothers JTWROS Names of the Respondents Hearing Site: Orlando, Florida Merrill Lynch, Pierce, Fenner & Smith Incorporated Scott A. Geric Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Dorothy M. Carrothers ("D. Carrothers

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02724 Barbara J. Callahan, f/k/a Barbara J. Callahan-Whitt Names of the Respondents Hearing Site: Orlando, Florida Gerald Fischetti Prudential Securities, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Barbara J. Callahan, f/k/a Barbara J. Callahan-Whitt, hereinafter ref

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02723 Terrance H. Brown Names of the Respondents Hearing Site: Boca Raton, FL Prudential Securities, Inc. Bernice K. Freeland James Robert Sory, Jr. Richard Dean Brusca Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Terrance H. Brown, hereinafter referred to as "Claimant": James Ric

Stipulated Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-02721 Kathleen Snyder, Individually and Kathleen Snyder and Joann P. Winter, JTTEN Names of the Respondents Hearing Site: Tampa, FL A.G. Edwards and Sons, Inc. Irene Barouh Stacey Hammer Richard Bernstein Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Kathleen Snyde

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02719 Thomas G. Butler, Trustee of the Thomas G. Butler Amended and Restated Revocable Trust Names of the Respondents Hearing Site: Orlando, Florida A.G. Edwards & Sons, Inc. John Umber Nature of Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Thomas G. Butler, Trustee of the Thomas G.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Melford Roeder Carol Roeder Melford Roeder and Carol Roder, JT Tenants Names of the Respondents Morgan Stanley Dean Witter Daivd Hyams Case Number: 03-02717 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Melford Roeder ("M. Roeder"), Carol Roed

Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Name of the Claimant Case Number 03-02711 Fahnestock & Co., Inc. Name of the Respondent Hearing Site: Atlanta, GA Charles A. Busbee Nature of the Dispute: Member vs. Associated Person. For Fahnestock & Co., Inc. ("Fahnestock? 1 ), hereinafter referred to as "Claimant": Evelyn Bukchin, Counsel, Fahnestock, New Yotk, NY, Charles A. Busbee ("Busbee"), hereinafter referr

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Brian S. Smoly, individually Darlene M. Wohlfeil, individually Brian S. Smoly and Darlene M. Wohlfeil, as Co-Trustees Names of the Respondents Citigroup Global Markets, Inc. f/k/a. Salomon Smith Barney, Inc. JackB. Gnibman Charles Sawicki Joseph S. Jones, IV Case Number: 03-02705 Hearing Site: Boca Raton, Florida Nature of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of tha Claimants Azfar M. Malik and Maheen Malik, Jointly and Individually, and for Samir Malik Custodial Account, Zayir Malik Custodial Account and Areeb Malik Custodial Account Name of the* Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Shariq Mansuri Case Number: 03-02704 Hearing Site: St. Louis, Missouri MATURE HF HlfiPI ITF Customers

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Luba Price, (Claimant) vs. Ameritrade, Inc. and Advanced Clearing, Inc., (Respondents) Case Number: 00-04516 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Luba Price, hereinafter referred to as "Claimant": Jenice L. Malecki, Esq., The Law Office of Jenice L. Malecki, New York, NY. Respondents, Ameritrade, Inc. ("Ameritrade") and Advanced Clearing, Inc. (