Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants/Counter-Respondents Case Number: 00-04452 Kenneth Lepori and Randall Hammond Name of the Respondent/Counterclaimant Hearing Site: Houston, Texas Merrill Lynch, Pierce, Fenner, & Smith, Inc. REPRESENTATION OF PARTIES Claimants/Counter-Respondents Kenneth Lepori ("Lepori") and Randall Hammond ("Hammond"), hereinafter collectively referred to as "Claimants

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01242 Billy and Gloria Williamson Billy D.Williamson IRA Name of the Respondent Hearing Site: New Orleans, Louisiana Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Billy and Gloria Williamson and Billy D. Williamson IRA, hereinafter collectively referred

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Deepen A. Modi And 03-01240 Chicago, Illinois Name of Respondents Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Deepen A. Modi ("Claimant") was represented by Frederick J. Otto, Esq., Otto & Associates, Park Ridge, Illinois. ' Prudential Equity G

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Tammy Stringfellow, Robert Hager, Pierre Petrau, Arnold Morris, Carol Morris, Danny Morris, James Madden, Barbara Madden, Charles West, Rose Beranek, and Walter Hager v. 03-01236 Denver, Colorado Respondents Locust Street Securities, Inc., Michael Loween, Kathy Loween and Loween & Associates a/k/a Michael A. Loween & Associates Cross-Claimant Loc

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert W. and Joan C. Davis, Claimants v. RBC Dain Rauscher Inc., D.A. Davidson & Co., John G. Fenton, and Andrew N. Hennen, Respondents Case Number: 03-01231 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Members and Associated Persons REPRESENTATION OF PARTIES For Claimants Robert W. and Joan C. Davis: Patrick L. Hinton, Esq. Curtis Hinton, PL

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Steve Herman, Claimant v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and Linda P. Elliott, Respondents Case Number: 03-01230 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Deborah A. Klar, Esq. Liner Yankelevitz, Sunshine & Regenstreif LLP Los An

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David J. Boczar (Claimant) v. BPC Group, Inc., Bryant Park Capital, Inc., CRA Group, L.P., Capital Resource Holdings, LLC, VIP Management Corp., Value Investing Partners, Inc., Kevin R. Greene, Joel Magerman, VI Partners I, LLC, and VI Partners II, LLC (Respondents) Case Number: 03-01224 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Members, Non-Member

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01222 Robert Guerin and Albert Markman Peters, Claimants vs. Julio O. Ramirez, Respondent. ATTORNEYS: For Claimants, Robert Guerin and Albert Markman Peters, (collectively "Claimants") appeared Brian D. Donnelly of the Law Offices of Dressier, Amery & Ross, P.C. New York, NY. Respondent, Julio O. Ramirez, ("Respondent") did not submit a response to the Statement of Claim. DATE FILED: Feb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hansel Y. Fujino, individually and as Trustee of Oahu Metal & Supply, Ltd. Profit Sharing Plan and Retirement Trust and Ellen S. Fujino, Claimants v. Raymond James Financial Services, Inc. and Mario K.M. Yim, Respondents Case Number: 03-01219 Hearing Site: Honolulu, Hawaii Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: T

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants ( Case Number: 03-01218 Audrey Gould ,, , Georgeanne Moss Ellen Gould Baber ' Name nf the Respondent Hearing Site: Philadelphia, Pennsylvania Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Associated Persons v. Member. i RFPRFSTTNTATTON OF PARTTFS Claimants, Audrey Gould ("A. Gould"), Georgeanne Moss ("G. Moss") and