Award NASD Dispute Resolution In the Matter of the Arbitration Between: John J. Flynn, Patricia Rosemary Flynn and Clairvoyant Capital, LLC (Claimants) vs. US Clearing Corp., Quick and Reilly, Inc. n/k/a Bane of America Investment Services, Brookstreet Securities Corp., NF Clearing, Inc. f/k/a Fiserv Securities, Inc., Fleet Securities, Inc., Greenwich Global LLC, Geoffrey Hammel, Leslie Quick III, Charles LaBella, Brian T. Moynihan, James Manning, Sound Fin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01680 Patsy L. Coleman, Individually and as Trustee Names of the Respondents Hearing Site: Orlando, Florida Joel Carl Pearson Morgan Stanley Dean Witter Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Patsy L. Coleman, Individually and as Trustee, hereinafter referred to as "Claimant":

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Royce A. Bennett and 03-01407 Omaha, Nebraska Name of Respondents Royal Alliance Associates, Inc. Gerald L. Tagge Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Royce A. Bennett ("Claimant") was represented by Rodney K. Vincent, Esq., Vincent Law Offices, Lincoln, Nebraska. Royal Alliance Associates,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald R. Partridge, Claimant v. Wachovia Securities, Inc. and Anthony E. Cameron, Respondents Case Number: 03-01354 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: John W. Barnes, Esq. Attorney at Law San Rafael, California For Respondents: Michael J. Abbott, Esq.

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Nancy and Gene Wayne Yee, (Claimants) vs. Charles Schwab & Company, Inc. and Man Wan (Tony) Chiu, (Respondents) Case Number: 99-02989 Hearing Site: New York City, New York REPRESENTATION OF PARTIES Claimants, Nancy Yee ("N. Yee") and Gene Yee ("G. Yee"), hereinafter collectively referred to as "Claimants", appeared pro se. Respondents, Charles Schwab & Company, Inc. ("S

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Robin Michele Rushing, Claimant v. La Jolla Capital Corporation (aka Pacific Cortez Securities) and Harold Bailey "BJ" Gallison Jr., Respondents Case Number: 99-02016 Hearing Site: San Diego. California REPRESENTATION OF PARTIES For Claimant: Robin Michele Rushing In Pro Per Spokane, Washington CASE INFORMATION Statement of Claim filed: April 29, 1999 Claimant's Unifor

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01223 Charles Schwab & Co. Inc., claimant vs. Mayfair Group Inc., and Brett Hirsch, respondents. ATTORNEYS: For Claimant Charles Schwab & Co. Inc., appeared Linda A. Gallagher, Esq., Gomberg Kane & Fischer, Ltd. Chicago, Illinois. Respondents Mayfair Group, Inc. and Brett Hirsch "collectively" did not respond to the Statement of Claim. DATE FILED: 03/16/99

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Myer H. Evans Helen U. Evans 99-00351 Name of Respondents Klein Maus and Shire, Inc. Michael Gross REPRESENTATION For Claimants Myer H. and Helen U. Evans ("Claimants") appeared Richard F. Market, Esq., of the law firm Whitman Breed Abbott & Morgan LLP, located in New York, New York. Respondent Klein Maus and Shire, Inc. ("Klein") did not enter an

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: B.J. Dotson and Joyce Supina, (Claimants) vs. Foster Jeffries Securities, LLC, Frederick J. Hentschel III and Marcus A. Ramos, (Respondents). Case Number: 99-00147 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants, B.J. Dotson ("Dotson") and Joyce Supina ("Supina"), hereinafter collectively referred to as "Claimants": P. Kevin Leyendecker, Esq., Moriarty & Associate

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the matter of the Arbitration Between NASD Regulation, Inc. No. 96-01162 Claimants Robert G. Hatfield Sarah J. Hatfield vs. Respondents Investment Centers of America, Inc. Kevin M. Dunnigan REPRESENTATION OF PARTIES For Claimants: John G. Crist, Esq., Dorsey & Whitney LLP, Billings, Montana For Respondents: William O. Bronson, Esq., James, Gray, Bronson & Swanberg, P.C