Award NASD Dispute Resolution In the Matter of the Arbitration Between: F. James Christie and Nancy H. Christie (Claimants) vs. Morgan Stanley Dean Witter, Inc., Robert Leigh Ace and Lauren Ardeen Werner (Respondents) Case Number: 03-00114 Hearing Site: Buffalo, New York Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants F. James Christie ("F. Christie") and Nancy H. Christie ("N. Christie"), herein

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Douglas P. Makin (Claimant) v. Kaufman Bros., L.P (Respondent) Case Number: 02-06638 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Douglas P. Makin ("Claimant"): Michael E. Grenert, Esq., Liddle & Robinson, L.L.P., New York, New York. Respondent Kaufman Bros., L.P. ("Respondent"): Steven R. Para

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stephen P. Eckert, Diane L. Eckert, Case Number: 02-06355 and Stephen P. Eckert as Beneficiary of the Salomon Smith Barney, Inc. Rollover IRA, Claimants, v. Hearing Site: Indianapolis, Indiana Citigroup Global Markets, Inc. and Brian Deckard, Respondents. Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Stephen P. Eckert,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05634 Virginia Griffith Name of the Respondents Hearing Site: Kansas City, Missouri William Scott Wiley, Invest Financial Corp., Kenneth W. McGovern, and SII Investments. Type of Controversy: Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Barry D. Estell, Esq. with law offices located in Mission, Kansas r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05504 UBS Financial Services, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Luis Pelayo Moran REPRESENTATION OF PARTIES For UBS Financial Services, Inc. ("UBSFSI"), hereinafter referred to as "Claimant": Lisa A. Catlano, Davison, Manchel & Brennan, LLP, Northvale, New Jersey and Melanie Cherdack, Esq., Genovese Lichtman Jo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard L. Harsch, Claimant v. UBS PaineWebber Inc., Patrick M. Ehret, and William Dougherty, Respondents Case Number: 01-03083 REPRESENTATION OF PARTIES For Claimant: Richard L. Harsch In Pro Per San Diego, California For Respondents: Lisa K. Donahue, Esq. UBS PaineWebber Inc. Los Angeles, California CASE INFORMATION Statement of Claim filed: August 13, 2001

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Virginia L. Jang, Claimant vs. Wachovia Securities, LLC and Jeffrey M. Daft, Respondents Case Number: 02-05499 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Mitchell S. Ostwald, Esq. Law Offices of Mitchell S. Ostwald Sacramento, California For Respondents: G. Thomas

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Michael and Julie Pottorff and 02-05375 Des Moines, Iowa Names of Respondents Citigroup Global Markets, Inc., f/n/a Salomon Smith Barney, Inc., Jay D. Layman, and Mark D. Stuck NATURE OF THE DISPUTE Customers vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES Michael and Julie Pottorff ("Claimants") were represented by Gail E.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Khalil Saghezchi Shirmohamniadi, Azar Saghezchi Ghaemmaghami, Sahrab Saghezchi, Soheil Saghezchi and Sohar Saghezchi, Claimants v. Abbas A. Khoshnevissan and Bear, Steams Securities Corp., Respondents Case Number: 02-05370 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: John S. Perk

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Abdelkarim K. and Carri L. Wallis-Khalil and Case Number: 02-05223 Hearing Site: Houston, Texas Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Henry M. Blodget and Merrill Lynch & Co. NATURE OF DISPUTE Customers v. Member Firm, Associated Person and Non-Member REPRESENTATION OF PARTIES Abdelkarim K. and Carri L. Wallis-Khal