AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Lisa A. Gordon and '02-06616 Omaha, Nebraska Name of Respondent Investment Professionals, Inc. REPRESENTATION OF PARTIES Lisa A. Gordon ("Claimant") was represented by Alan J. Mackiewicz, Esq., Omaha, Nebraska. Investment Professionals, Inc. ("Respondent") was represented by Eric A. Pullen, Esq., Loeffler, Jonas & Tuggey, LLP., San Antonio, Texas.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Monique Nakis Name of the Respondent Raymond James & Associates, Inc. Case Number: 02-06610 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member Firm. REPRESENTATION OF PARTIES For Monique Nakis ("Nakis"), hereinafter referred to as "Claimant": Jeffrey S. Grubman, Esq., Stollman & Grubman, P.A., Boca Raton, Florida. Fo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Marie E. Schwartz vs. 02-06607 Omaha, Nebraska Respondents Wachovia Securities, LLC f/k/a First Union Securities, Inc. and Julian Klaczynsky Nature of the Dispute: Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Marie E. Schwartz ("Claimant") was represented by Gail E. Boliver, Esq., Boliver Law Firm, Omaha, Nebraska. Wachovia

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Thomas E. Wolff and Patricia S. Wolff and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Michael G. Sample and George B. Cook Case Number: 02-06606 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Thomas E. Wolff and Patricia S. Wolff ("Claimants")

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert E. Ravenscroft, Claimant v. Dennis Fitz Dixon, Simmons & Bishop Co., foe., Evelyn Kottle Simmons, Kory Robert Kemp and Mark David Hovland, Respondents. Case Number: 00-04129 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES For Claimants: Howard M. Hoffman, Esq. 8880 Cal Center Drive Suite 165 Sacramento, CA 95826 For Respondents: Jeanne M. Rowzee, E

0.1-/07/2004 13:13 FAX NASD H002/OQ5 AWARD NASD Dispute Resolution In the Matter of the Arbitration Between RBC DAIN RAUSCHER, INC., NASD Case NO. oiweeos Claimant/Counter Respondent, and JAYICE PEARSON, Hearing Site: Kansas City, Missouri Respondent/Counter Claimant REPRESENTATION OF PARTIES Claimant/Counter Respondent RBC Dain Rauscher, Inc. ('*RBC Dain Rauscher") was represented by Jonathan M. Harris and Nicole M. Siemens of Lindquist & V

Award NASD Dispute Resolution In the Matter of the Arbitration Between: . Plflimant Rajpal Bandarapalli KTnmhpr- 02-06604, COH. With 03-00981 John Keith Parmley Scottrade, Inc. inpgjjg' Dallas, Texas TVATTTRF O 1 PTTTF Customer v. Member and Associated Person PF.PttF.SF.NTATTO]tf OF PARTTFS Claimant Rajpal Bandarapalli, hereinafter referred to as "Claimant"; Appeared pro se. Respondents John Keith Parmley ("Parmley") and

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant David L. Hubbs and 02-06601 Nashville, Tennessee Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES David L. Hubbs ("Claimant") appeared pro se. Merrill Lynch Pierce Fenner & Smith Inc. ("Respondent") was represented by Avital Stadler, Esq., Sutherland, Asbill & Brennan,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants f.asp. Number- 02-06598 Victor Berger Names of the Respondents Hearing Site- Pittsburgh, PA Michael J. Condron Morgan Stanley Dean Witter, Inc. Nature of Dispute: Customer v. Associated Person and Member RFPRFSFNTATTON (W PARTIES Claimant, Victor Berger, was represented by Robert M. Kramer, Esq., Pittsburgh, PA. Respondents, Michael J. Co

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Darrell Portzen, Kathryn Portzen and Elaine Portzen And 02-06593 Milwaukee, Wisconsin Name of Respondents Peregrine Financials & Securities, Inc ABN Amro Incorporated Ellen M. Aleshire Robert E.McBride Daniel H. Brush D H Brush & Associates, Inc. Kevin J. Kowalski James L. Klotz James F. Kelly Dennis Wenmouth Kevin M. Murphy