Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gordon Kerr, Claimant v. J. Alexander Securities, Lie. and James Alexander, Respondents Case Number: 00-04303 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Gordon Kerr: Gordon Kerr In Propria Persona Walnut* California For Respondents J. Alexander Securities, Inc. Jon L. Rewinski, Esq. and James Alexander Heller Ehrman White & McAuIif

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Goldstein Family Trust, Denne Goldstein, Anne Goldstein, Randi Green, and Steven M. Green, Claimants v. First Union Securities, Inc. n.k.a. Wachovia Securities, LLC and Bradley T. Glasman, Respondents Case Number: 03-00143 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank P. Diulus (Claimant) vs. Metropolitan Life Insurance Company, Met Life Financial Services and Met Life (Respondents) Case Number: 03-00142 Hearing Site: Buffalo, New York Nature of the Dispute: Associated Person vs. Member and Non-Members REPRESENTATION OF PARTIES Claimant Frank P. Diulus ("Claimant"): Chaim J. Jafee, Esq., Scolaro, Shulman, Cohen, Fitter & Burstein, P.C.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ashley Walls, Claimant v. Mark R. Grirnme, Ross P. Parker and Morgan Stanley Dean Witter, Respondents Case Number: 03-00139 Hearing Site: Los Angeles, California Nature of Dispute: Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES For Claimant: Jeff Dennis Ferentz, Esq. Jeff Dennis Ferentz, Inc. Newport Beach, California For Respondents: Kevin K. F

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ronald Dombrowski and Names of Respondents Morgan Stanley Dean Witter, Inc. and Craig Baiter Case Number: 03-00134 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Ronald Dombrowski ("Claimant") was represented by Laurence S. Schultz, Esq., Driggers Schultz & Herbst, Tr

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Marilyn Linden Names of the Respondents Morgan Stanley Dean Witter, Inc. Robert S. Smith Robert E. Wasserman Stephen A. Jaffe Case Number: 03-00124 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Marilyn Linden ("Linden"), referred to herein as "C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Ronald J. Scott M.D., IRA Ronald J. Scott, H UTMA/F1 Ronald J. Scott, M.D. Names of the Respondents Morgan Stanley DW, Inc. Janney Montgomery Scott LLC David Kolman Hirschman Case Number: 03-00123 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ronald

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Robert Pratt and Elayne Pratt, individually and as trustee for the Robert Pratt IRA and The Elayne Pratt IRA Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith Case Number: 03-00122 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Robert Pratt and Elayne Pratt, individuall

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00121 Laura Jean Haughie Name of the Respondent Hearing Site: Boca Raton, FL Dreyfus Service Corporation Shawn Kelley Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES -****Sk ^%te.^. For Laura Jean Haughie ("Haughie"), hereinafter referred to as "Claimant": Alan J. Foxman, Esq. Alan J

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00120 Richard W. Wolf a/k/a Richard Wolfe Names of the Respondents Hearing Site: Tampa, Florida. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Sharon Kurgis Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Richard W, Wolf a/k/a Richard Wolfe, hereinafter referred to as "Claimant"