AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Ray Carter IRA, Hamilton Seven Limited Partnership, Hamilton Development Partnership, Carter Electric Corp, Selena McCollum, Wendy Croxton, and Gretchen Tice and 03-00523 Phoenix, Arizona Name of Respondents Morgan Stanley DW Inc. Christopher S. Stocks Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joseph Charles Barna IRA and 03-00517 Nashville, Tennessee Name of Respondents TD Waterhouse Investor Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Joseph Charles Barna IRA ("Claimant") was represented by W. Martin Seiler, Esq., Memphis, Tennessee. TD Waterhouse Investor Services, Inc. ("Respondent") was repr

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name;; nf the Claimants Andrew H. McMillan Shannon N. McMillan Names nf the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Peter J. Russo, Jr. Case Number- 03-00515 Hearing Site- Washington, D.C. Nature of the Dispute: Customers v. Member and Associated Person. RFPRKSKNTATTON OF PARTIES Claimants, Andrew H. McMillan and Shannon N. McMillan, he

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Riedel (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. (Respondent) Case Number: 03-00512 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant David Riedel hereinafter referred to as "Claimant": Laura B. Hoguet, Esq., Hoguet Newman & Regal, LLP, New York, NY. Respondent Cit

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Stifel, Nicolaus & Company, Inc. (Claimant) vs. William Nelson (Respondent) Case Number: 03-00509 Situs: Cincinnati, Ohio > _ Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Stifel, Nicolaus & Company, Inc., hereinafter referred to as "Claimant": Kelly S. Karase, Esq., Blackwell Sanders Peper Martin, LLP 5 St. Louis, MO. Respondent did n

Award NASD Dispute Resolution In the Matter i f the Arbitration Between: Mark A. Latina (Claimant) v. Trident Partners, Ltd., Anthony Koulouris, and Nicholas Tsikitas (Respondents) Case Number: 03-00508 . Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Mark A. Latina ("Latina") hereinafter referred to as "Claimant": Joseph L. Demeo, Esq. and Kimberly Dunn Spelm

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Robert K. Lowrie Name of Respondents Dain Rauscher Incorporated and Robert W. Mohs 00-04343 REPRESENTATION For Claimant: Robert K. Lowrie was represented by Thomas Ward of Lake Forest, Illinois For Respondents: Dain Rauscher Incorporated, n/k/a RBC Dain Rauscher and Robert Mohs were represented by Ronald P. Kane of Kane & Fischer, Ltd

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00502 James M. Gorman Name of the Respondents Hearing Site: Kansas City, Missouri Citigroup Global Markets, Inc. and Stanley J. Kuzia, Jr. Type of Controversy: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant James M. Gorman ("Gorman") was represented by Diane A. Nygaard, Esq. of the Nygaard Law Firm lo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number! 03-00495 Dagmar E. Bazzoni Revocable Trust dtd. 10/13/93, Dagmar E. Bazzoni, Trustee, Richard A. Bazzoni Marital Trust dtd. 8/10/99, Dagmar E. Bazzoni and Scott R. Jones, Trustees, and Richard A. Bazzoni Family Trust dtd. 8/10/99, Dagmar and Scott R. Jones, Trustees, Michael Bazzoni and Michael Bazzoni IRA, Name, nf the. Respondents Hearing

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Eric S. Krafft as Trustee for the Eric S. Krafft IRA and Case Number: 03-00494 Hearing Site: Chicago, IL Names of Respondents UBS PaineWebber, Inc., and Sandra Roberts NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Eric S. Krafft, Trustee for the Eric S. Kraffl, IRA ("Claimant") was represented by Stua