Stipulated Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01747 The Lana T. Nettles, Individually and as Trustee of the Lana T. Nettles Revocable Family Trust Names of the Respondents Hearing Site: Orlando, FL Park Avenue Securities, LLC John E. Watson Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For the Lana T. Nettles, Individually

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01743 John G. Wallace, Jr., Claimant vs. Morgan Stanley Online n/k/a Morgan Stanley DW Inc., Respondent. ATTORNEYS: ~ Claimant appeared pro se, Hermosa Beach, CA. For Respondent appeared in-house counsel Judith M. Rosenberg, Esq., San Francisco, CA. DATE FILED: March 11, 2003 "~ CASE SUMMARY: Claimant alleged that Respondent sold short 1000 shares of NVDA through his individual accou

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas Vazzano IRRA, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc. and UBS Financial Services, Inc., Respondents. Case Number: 03-01737 Hearing Site: New York City, New York Nature of the Dispute: Customer vs. Member Firms. REPRESENTATION OF PARTIES Claimant, Thomas Vazzano IRRA, ("Vazzano"), hereinafter referred to as "Claimant": David W. Rubin, Esq., The Law Offices of

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert J. Smith Revocable Trust dated 9/15/94, Robert J. Smith and Diane E. Smith, Co- Trustees (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Paul E. Brindle, and John D. Canale (Respondents) Case Number: 03-01735 Hearing Site: Albany, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Robert J. S

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01734 UBS PaineWebber Inc., Claimant vs. Christopher Saturley, Respondent. ATTORNEYS: For Claimant previously appeared Romaine L. Gardner, Esq., Staten Island, NY, currently represented by Lisa A. Catalano, Esq., of the firm Davidson, Manchel & Brennan, LLP, Northvale, NJ. Respondent appeared pro. se., Manchester, NH. DATE FILED: March li, 2003 CASE SUMMARY: Claimant alleged that Res

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Plflimanfs Case Number; 03-01732 Frances V. Wofford Frances V.Wofford IRA Name nf the Rggprmftentg Hearing Site* Washington, DC Edward D. Jones & Co., L.P. William Edward Armstrong Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRF.SFNTATTON OF PARTIES Claimants, Frances V. Wofford ("Wofford") and Frances V. Wofford IRA ("Wofford IRA"),

.1 Award NASD Dispute Resolution In the Matter of the Arbitration Between: of the Claimant Case Number 03-01728 Lisa Landers Names of the Respondent^: Hearing Site: Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Evan Chertkov David Paul Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant, Lisa Landers, hereinafter referred to as "Claimant", was represented by Robert J. L

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants William and Georgia Seals and Respondents IMS Securities, Inc., Larry Jon Harn, Christopher D. Gammon, and Jackie Divono Wadsworth and Cross Claimant / Counter Respondent Larry Jon Harn and Cross Respondent / Counter Claimant IMS Securities, Inc. Case Number: 03-01727 Hearing Site: Houston, Texas NATURE QF DISPUTE Customers v.

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Claimants Robert A. Voydat and Rhonda L. Voydat v. Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., David L. Kopp, Jodi T. Rolland and Edward G. Schrandt Case Number: 03-01722 Hearing Site: Denver, Colorado Nature of Dispute: Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTTES Robert A. Voydat and Rhonda L. Voydat, ("C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nancy Konn, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Inc., Shawn B. Peroft and John K. Strine, Respondents Case Number: 03-01720 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Laurel H. Siddoway, Esq. Randall & Danskin, P.S. Spokane, Washington For Respondents: Julie K. T