AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Alan Toppel and Charlotte Toppel and 03-00557 Phoenix, Arizona Name of Respondents UBS PaineWebber, Inc. n/k/a UBS Financial Services Inc. Harold Langer Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATTQN OF PARTIES Alan Toppel and Charlotte Toppel ("Claimants") were represented by Gregory E. Good, Esq., Gregory E. Go

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Ronald Fortner, as executor of the Estate of Doris Erika Berg v. 03-00556 Denver, Colorado Respondents UBS PaineWebber, Inc., Raymond K. Burkland and Diane K. Burkland Counter-Claimants Raymond K. Burkland and Diane K. Burkland v. Counter-Respondent Ronald Fortner, as executor of the Estate of Doris Erika Berg Cross-Claimants/Cross-Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Linda Hazel Sherman, Edwin Bernard Sherman, and The Sherman Family Trust, Claimants v. Henry M. Korngut and Bear Stearns & Co., Inc., Respondents Case Number: 03-00552 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Jeff Dennis Ferentz, Esq. Jeff Dennis Ferentz, Inc. Newport Beach,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Estate of Paul Freud Wotman, Claimant v. E*Trade Securities LLC, Respondent Case Number: 03-00550 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Carrie Moulton, Esq. Hallisey & Johnson San Francisco, California For Respondent: John Bersin E* Trade Financial Rancho Cordova, California C

Award NASD Dispute Resolution In the Matter of the Consolidated Arbitration Number 03-00548 Angelina Davis-Nave Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Marsha A. Kemppainen, Respondents (Case Number: 03-00548) Consolidated with Robert Nave, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated Incorporated and Marsha A. Kemppainen, Respondents (Case Number: 03-01370) Hearing Site: Portland, Oregon Nature of Disput

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carrie Butler IRA, Claimant vs. Wachovia Securities, LLC and Stephen W. Wilson, Respondents Case Number: 03-00547 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Carrie Butler In Propria Persona Sylmar, California For Respondents: Michael J. Abbott, Esq. Robert J. Girard II, Esq

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Lof Claia PaineWebber Incorporated. Case No. 00-04350 Edwin H. Hayes; First Union Corporation; and First Union Securities, Inc. PAPTTFfi Claimant PaineWebber Incorporated ("PaineWebber") was represented by Janiece M. Longoria, Esq., of the firm of Ogden, Gibson, White & Broocks, L.L.P., located in Houston, Texas. Respondent Edwin H. Hayes ("Hayes") was represent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thfi Claimants Case Number 03-00534 Todd M. Pavuk Dawn L. Pavuk, Dawn L. Pavuk as custodian for Chloe Faith Pavuk and Dawn L. Pavuk as custodian for Noah Michael Pavuk Name nf the Rp.spnnffonfs Hearing .Site- Baltimore, Maryland Morgan Stanley Dean Witter, Inc. and Timothy Michael Herb Nature of the Dispute: Customers vs. Member and Associated Person. RFPRF.SF.NT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name fifths Claimant Barbara Lorraine Bedford Name of the Respondents Morgan Stanley DW Inc., Gardner D. Fields, and Anthony P. Jones Pnse Number: 03-00533 Hearing Site- Richmond, Virginia Nature of the Dispute: Customer vs. Member and Associated Persons. RRPKFSF.NTATTON OF PAETTP.S Claimant, Barbara Lorraine Bedford, hereinafter referred to as "Claimant", was repres

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimants Case Number: 03-00524 Harold and Jill Lewis Name of the Respondents Hearing Site: St. Louis, Missouri A.G. Edwards & Sons, Inc. Charles A. Hessler HIRPIT Customer vs. Member Firm and Associated Person Albert S. Watkins, Esq. of the law firm Kodner, Watkins, Muchnick, Dunne & Weigley, L.C., located in St. Louis, Missouri, represented the Claimants, H