Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kevin Chiu, Claimant v. TD Waterhouse Investor Services, Inc., Respondent Case Number: 00-04485 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES For Claimant: Richard Sacks Irving Stein Two Commercial Blvd. Suite 203C Novato, CA 94949 For Respondent: Cara L. Finan, Esq. Keesel Young & Logan Four Embarcadero Center Suite 1500 San Francisco,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elmer Miller, Claire Miller and The Estate of Helene Morris, Claimants v. Wedbush Morgan Securities Inc., Respondent Case Number: 03-01719 Hearing Site: Anchorage, Alaska Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES For Claimant: William F. Brattain Baker Brattain LLC Anchorage, Alaska For Respondent: Judy Louie Wedbush Morgan Securities Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Valerie Litchfield, Claimant v. v. A.G. Edwards & Sons, Inc. and James K. Tybur, Respondents Case Number: 03-01718 Hearing Site: Salt Lake City, Utah Nature of Dispute: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES For Claimant: Larry G. Reed, Esq. Reed & Wangsgard, L.C. Salt Lake City, Utah For Respondents: Phyllis A. Hartrkh, Esq. A.G. Edwards

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the niarmaTits Maxine K. Bowman, Individually and as Personal Representative of The Estate of Claud A. Bowman Name of the Respondent Morgan Stanley DW Inc. Paul Foster Green flase Number- 03-01717 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customers vs. Member and Associated Person. RFPRFSPNTATTON OF PARTTRS Claimants Maxine K. Bow

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Randall L. Anderson Trustee of the Bernice M. Thornburgh Trust, Claimant v. Salomon Smith Barney, Inc. and Steven Eugene Lahre, Respondents Salomon Smith Barney, Inc. and Steven Eugene Lahre, Respondents/Third Party Claimants v. Randal L. Anderson, Trustee, Third Party Respondent Case Number: 03-01712 Hearing Site: Portland, Oregon Nature of Dispute: Customer v. Member Firm and Asso

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01711 Jason Marshall Name of the Respondent Hearing Site: Atlanta, Georgia Robert W. Baird & Co., Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Jason Marshall, hereinafter referred to as "Claimant": Frank A. Lightmas, Jr., Esq., Lightmas & Delk, Atlanta, Georgia, For Robert W. Baird & Co., Inc

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Timothy Whalen (Claimant) v, Wachovia Securities Financial Network, Inc. f7k/a First Union Securities Financial Network, Inc., Ryan Michael Hans, and Skip Granger (Respondents) Case Number: 03-01710 Hearing Site: Columbus, Ohio Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Timothy Whalen ("Whalen") hereinafter referre

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01708 Patricia Ilomaki Jon Ilomaki Name of the Respondent Hearing Site: Boca Raton, Florida Empire Financial Group Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Patricia Ilomaki and Jon Ilomaki, hereinafter collectively referred to as ("Claimants"): Marc. S. Dobin, Esq., Dobin & Jenks, LLP, Jup

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dean Tabai, Claimant v. Morgan Stanley DW Inc. and Trent P. Staggs, Respondents Case Number: 03-01707 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Pejrson i REPRESENTATION OF PARTJES For Claimant: Timothy A. Canning, Esq. Novato, California For Respondent Morgan Stanley DW Inc.: Judith M. Rosenberg, Esq. Morgan Stanley

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Travis N. Allan, Claimant v. US Bancorp Investments, Inc. Respondent US Bancorp Investments, Inc.Counter-Claimant v. Travis N. Allan, Counter-Respondent Case Number: 03-01706 Hearing Site: Portland, Oregon Nature of Dispute: Associated Person v. Member Member v. Associated Person REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: Paul J. Speck, Esq. Forcum & Speck