r Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00986 Elwood E. and Fern O. Rowe JTWROS Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. and Perry Switzer Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Elwood E. and Fern O. Rowe JTWROS, hereinafter collectively referred to as "Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00983 Ronald Summers Peter McLaughlin Names of the Respondents Hearing Site: Boca Raton, FL Prudential Securities, Inc. Joseph Grippi Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ronald Summers and Peter McLaughlin, hereinafter collectively referred to as "Claimants": D

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent Robert W. Baird & Co., Inc. and Name of Respondent/Counter-Ciaimant Michael A. Pino Case Number: 03-00980 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Member Firm v. Associated Person and Associated Person v. Member Firm REPRESENTATION OF PARTIES Robert W. Baird & Co., Inc. ("Claimant") was represented by Brian Trexell,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant * Robert W. Baird & Co., Inc. , and ' Case Number. 03-00978 Hearing Site: Detroit, Michigan Name of Respondent Michael A. Marcum REPRESENTATION OF PARTIES Robert W. Baird & Co., Inc. ("Claimant") was represented by Moira K. Moran, Esq., and Brian D. Trexell, Esq., Robert W. Baird & Co, Inc., Milwaukee, Wisconsin. \ Michael A. Marcum("Respondent")

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Magdalena Trotter Trustee for the Magdalena Trotter Trust, Claimant v. Janis M. Wyatt and Bane of America Investment Services, Inc., Respondents Case Number: 03-00975 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES For Claimant: Magdalena Trotter In Preporia Persona Woodland, Washington For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00968 Sterne, Agee & Leach, Inc. Name of the Respondent Hearing Site: Atlanta, Georgia James H. Goolsby Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Sterne, Agee & Leach, Inc., hereinafter referred to as "Claimant": G. Wayne Hillis, Jr., Esq., and Aaron W. Lipson, Esq., Parker, Hudson, Rainer & Dobbs,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kurt McGill, The Kurt McGill MGMT Trust, and the Jean S. McGill Memorial Trust (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Rosalie H. Fields (Respondents) Case Number: 03-00964 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Kurt McGill ("McGill"), The Kurt McGill MGM

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00959 Nicholas Villalba Name of the Respondent Hearing Site: Boca Raton, Florida Kenneth Brown Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES For Nicholas Villalba, hereinafter referred to as "Claimant": Scott L. Silver, Esq., Blum, Silver & Schwartz, LLP, Plantation, Florida. For Kenneth B

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Gregory R. Hoffman and 00-04400 Kansas City, Missouri Name of Respondent Alonzo Williams REPRESENTATION OF PARTIES Gregory R. Hoffman ("Claimant") was represented by Amanda M. Candelmo, Esq. and Max J. Mahoney, Esq., LPL Financial Services, Boston, Massachusetts. Alonzo Williams ("Respondent") did not appear at the hearing. CASE INFORMATION

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00956 Carl H. Will, in his individual capacity and in his capacity as custodian and Lisa Will, in her individual capacity Name of the Respondent Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Carl H. Will, in his individual capacity a