Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant: Thomas A. Daly Case No: 00-4226 Names of Respondents: Dean Witter Reynolds, Inc. and Howard J. Neff Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Thomas A. Daly ("Daly"), hereinafter referred to as "Claimant"; Tim B. Wright, Esq., Stuart, Florida. For Dean Witter Reynolds, Inc. ("DW") and Howard J. Neff ("Neff'), hereinaf

06/03/2004 10:50 FAX NASD @002/OQ9 AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Michelle Ann Miller and Names of Respondents Westcott Securities, LLC Aegis Asset Management, Inc. Thomas Layng Guerriero Lotte S. Optekamp and John D. Brudner Case Number: 02*07493 f Hearing Site: Houston, Texas { NATURE OF DISPUTE Customer v. Member Firm, Non-Member Firm and Associated Perso

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Dennis McCullough, Deb Altepeter, Darrell Voytilla, JoAnn Voytilla, Merlin Drangstviet, Marlys Drangstviet, Holland Gagner, Nancy Gagner, Russell Culkins, Thelma Culkins, Alfred Weigel, Violet Wei gel, and Joann Larson v. 02-07480 Minneapolis, Minnesota Respondents RBC Dain Rauscher, Inc., John G. Kinnard & Company, Inc., Citigroup Global Markets, In

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07477 Farideh Korvalian, claimant/counterclaim respondent vs. John Farahi and Newport Securities, L.L.C., respondents/counterclaim claimants. ATTORNEYS: Claimant/counterclaim respondent appeared pro se, Irvine, CA. For Respondents/counterclaim claimants appeared Todd A. Broock, Esq., of the firm Liner Yankelevitz Sunshine & Regenstreif LLP, Los Angeles, CA. DATE FILED: December 11, 2002

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laurie Hillebrand and Thomas A. Hillebrand, and Thomas A. Hillebrand as Trustee of the Thomas A. Hillebrand Profit Sharing Plan and Trust (Claimants) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Gerald P. Santenello (Respondents) Case Number: 02-07473 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member and Associated Person. REPRE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kim Marie Vescova (Claimant) v. Southwest Securities, Inc. n/k/a SWS Securities, Inc., Southwest Securities Group, Inc., Brokers Transaction Services, Inc. n/k/a SWS Financial Services, Inc., Michael Aspler, Robert Mitchell, and Mark Kern (Respondents) Case Number: 02-07470 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Members, Non-Member, and Associated

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-07469 Richard C. Keibler Sharlie M. Keibler Names of the Respondents Hearing Site: Boca Raton, FL James Albert Barry, Jr. Richard Charles Jeppson Asset Management Securities Corp. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Richard C. Keibler ("RCK") and Sharlie M. K

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-07467 Corina Montalvo Jose, Rafael Montalvo Name of the Respondent Hearing Site: Boca Raton, Florida Donaldson, Lufkin & Jenrette Securities Corporation Nature of the Dispute: Customer vs. Member. t REPRESENTATION OF PARTIES For Corina Montalvo and Jose Rafael Montalvo, hereinafter collectively referred to as "Claimants": Curtis

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07466 William F. Saunders, n Name of the Respondent Hearing Site: Atlanta, Georgia Fiserv Securities, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For William F. Saunders, II, hereinafter referred to as "Claimant": Joseph A. DeMaria, Esq. and Jeffrey Tew, Esq., Tew Cardenas, LLP, Miami, Florida.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07463 Nancy Kanzer, TTEE, U/A dtd 7/3/00 for The Nancy Kanzer Revocable Trust, claimant vs. Edward D. Jones & Co. and Christopher J. Yanson, respondents. ATTORNEYS: Claimant appeared pro se, Boca Raton, FL. For Respondents appeared Bradford B. Lear, Esq., of the firm Greensfelder, Hemker & Gale, P.C., St. Louis, MO. DATE FILED: December 11, 2002 CASE SUMMARY: Claimant alleged that re