Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Claimant v. Donald G. Cox, Jr., Respondent Case Number: 03-01602 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For Claimant: Laura Ellen Browning, Esq. Haney Woloson & Mullins Las Vegas, Nevada For Respondent: Gex F. Richardson, Esq. Gex F. Richardson, P.A.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01601 Irene Hawkins Tikanen, Claimant vs. TD Waterhouse Investor Services, Inc., Respondent. ATTORNEYS: Claimant, Irene Hawkins Tikanen, ("Claimant"), appeared pro se, Pahrump, NV. Respondent, TD Waterhouse Investor Services, Inc., ("Respondent"), appeared through its in- house counsel, Janis Campanella, Esq., Boca Raton, FL. DATE FILED: March 5, 2003 CASE SUMMARY: Claimant alleged that

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ann Del Rio (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Morgan Stanley DW, Inc., Joseph Cataldo; and Steven Klein (Respondents) Case Number: 03-01599 Hearing Site: New York, New York Nature of the Dispute: Customer v. Members and Associated Persons. REPRESENTATION OF PARTIES Claimant Ann Del Rio ("Del Rio") hereinafter referred to as "Cl

r Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sewall F. Hodges (Claimant) v. Scudder Investor Services, Inc. (Respondent) Case Number: 03-01597 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Sewall F. Hodges ("Hodges") hereinafter referred to as "Claimant": Daniel A. Pollack, Esq., Pollack & Kaminsky, New York, NY. Respondent Scudder Investor Se

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:00-04475 Global Resource Investments, Ltd., claimant vs. John P. Kafka and Janet M. Kafka, respondents. ATTORNEYS: For Claimant appeared Robert E. Werbicky, Esq. of the firm Jolley Urga Wirth & Woodbury, Las Vegas, NV. Respondent John P. Kafka appeared Pro Se, Las Vegas, NV. Respondent Janet M. Kafka did not appear. DATE FILED: October 9, 2000. CASE SUMMARY: Claimant alleged th

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of fhe. Claimant Hase Number: 03-01594 Cyclean, Inc. Name nf the Respnndp.nf Hearing Site: Baltimore, MD Commonwealth Equity Services, Inc. Nature of the Dispute: Customer vs. Member. RFPRF.SF.NTATTON OF PARTTF.S Claimant, Cyclean, Inc "was represented by Dana Whitehead McKee, Esq., Brown Goldstein Levy, LLP, Baltimore, Maryland. Respondent, Commonwealth Equity Serv

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Jack Langer and H. Earl Barber, as Co-Trustees under the Sidney W. Langer Living Trust Names of the Respondents Salomon Smith Barney and Hank Aronberg Case Number: 03-01589 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jack Langer and H. Earl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01588 Elsie L. Wren, as Trustee for the Elsie L. Wren Trust, U/A dated October 2,1995 Elsie L. Wren, individually and as owner of the Elsie L. Wren, IRA and Elsie L. Wren, SEP IRA Names of the Respondents Hearing Site: Tampa, Florida Raymond James & Associates, Inc. Ross Preville Nature of the Dispute: Customer v. Member

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01586 Wachovia Securities, Inc. Names of the Respondents Hearing Site: Boca Raton, Florida Ronald C. Ball and Janney Montgomery Scott, LLC Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES For Wachovia Securities, Inc., hereinafter referred to as "Claimant": Thomas B. Lewis, Esq., Stark & Stark,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant William L. Sutton, IRA Name nf the Respondents Merrill Lynch Pierce Fenner & Smith, Inc. John Joseph Brienza Case Number- 03-01583 Hearing Site- Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. KRPRFSFNTATTON OF PAKTTFS Claimant, William L. Sutton, IRA, hereinafter referred to as "Claimant", was represen