Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerry Kramer, Don Geisinger, and Murrey Seidner, Individually and as Trustee of the Seidner Family Trust v. Wells Fargo Securities, LLC, 17k/a First Security Van Kasper, Inc., Michael A. Poutre, II, and Walter B. Terry, Jr. Case Number: 02-05185 Hearing Site: Los Angeles, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the. Claimant Case Nnmher- 02-05181 Janine Kennedy Name nf the Rpgpnndents Nparing Site- Pittsburgh, PA Jonathan Caromano J J.B. Billiard, W. L. Lyons, Inc. REPRESENTATION OF PARTTFS Claimant, Janine Kennedy, hereinafter referred to as "Claimant", was represented by Robert W. Goehring, Esq., Robert W. Goehring & Associates, Pittsburgh, Pennsylvania. Respondents,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Way and Taune Johnston and Names of Respondents Merili Lynch Pierce Fenner& Smith, Inc., and Scott D. Lile Case Number: 02-05178 Hearing Site: Houston, Texas NATURE OF CASE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Way and Taune Johnston ("Claimants") were represented by David P. Andis, Esq., Gauntt &

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Eileen Shuttleworth Case No. 00-03973 Names of Respondents Max Patrick Linn Investment Management & Research, Inc. n/k/a Raymond James Financial Services, Inc. Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Eileen Shuttleworth ("Shuttleworth"), hereinafter referred to as "Claimant": Eric E. Ludin, Esq. of Piper, Ludin,

Award n] OCT 15 2003 NASD Dispute Resolution jj Q ^J V In the Matter of the Arbitration Between: Denny Paul Primeaux, Case Number: 02-05172 Claimant, vs. NY Life Securities, Inc., Hearing Site: Houston, Texas Respondent and Cross-Claimant, vs. John Stephen Blount, Respondent and Cross-Respondent. REPRESENTATION OF PARTIES Claimant Denny Paul Primeaux, hereinafter referred to as "Claimant," was represented by Thomas Allen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Seymour Goldenberg, IRA; Sonya Goldenberg, IRA; Seymour Goldenberg & Sonya Goldenberg (Claimants) vs. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets and Anthony Parisi (Respondents) Case Number: 02-05167 Hearing Site: New York, New York •f Nature of Dispute: Public Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Seymour Goldenberg,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05166 Domenic J. Grano and Jeanne L. Grano, claimant vs. Brian Burns and Merrill Lynch, Pierce, Fenner and Smith Inc., respondents. ATTORNEYS: Claimants appeared pro se through Domenic Grano, Sparta, NY. For Respondents appeared in-house counsel, Richard N. Kim, Esq., New York, NY. DATE FILED: September 3, 2002 CASE SUMMARY: Claimants alleged that respondents failed to timely sell their

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Elizabeth Ann Cabanas and Names of Respondents A.G. Edwards & Sons, Inc. and Marshall D. Stein Case Number: 02-05156 Hearing Site: Houston, Texas NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Elizabeth Ann Cabanas ("Claimant") was represented by Ronald H. Thrash, Esq., Shepherd, Smith & Bebel,

Award NASD Dispute Resolution Li the Matter of the Arbitration Between: Name nf thft Claimant Case. Number 02-05 15 1 Fielding S. Daniel as Trustee of the Fielding S. Daniel Revocable Trust Name nf the Respondents Hearing Site: Washington, DC Wachovia Securities, Inc. R.Craig White Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRRSF.NTATTON OF PARTIES Claimant, Fielding S. Daniel as Trustee of the Fielding S. Daniel Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05148 Bobby Scott Names of the Respondents Hearing Site: Atlanta, Georgia Gaines Berland Inc. n/k/a Ladenburg Capital Management, Inc. Joseph Michael Angelone, Jr. Vincent Antonio Mangone Mark David Zeitchick Michael Andrew Chakos Ladenburg Thalmann and Co., Inc. REPRESENTATION OF PARTIES For Bobby Scott, hereinafter refer