Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: THOMAS B. BURKHARDT, GRETCHEN BURKHARDT, and the PATHOLOGY SERVICES OF KALAMAZOO PROFIT SHARING PLAN TRUST, by THOMAS B. BURKHARDT Claimants, v. SALOMON SMITH BARNEY, INC., JAMES C. BYLENGA and GARY SARGENT, Respondents. Case Number: 00-03695 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimants: Albert B. Addis, 10 South Ma

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant John Franklin Bower, Jr. Case No. 00-03693 Names of Respondents Lutheran Brotherhood Lutheran Brotherhood Securities Corp. Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For John Franklin Bower, Jr., hereinafter referred to as "Claimant": William J. Waggoner, Esq., Waggoner, Hamrick, Hasty, Monteith & Kratt, P.L.L.C., Charlotte, North C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kelechi Osuji, (Claimant) v. ETrade Group, Inc., (Respondent) Case Number: 00-03471 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Kelechi Osuji ("Osuji"): Ubi O. O'Neal, Esq. of the firm Ubi O. O'Neal & Associates located in Chicago, Illinois. Respondent E*Trade Group, Inc. ("E*Trade"): Eric Bronson, Esq. of the firm Bird, Marella, Boxer, & Wolpert

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kirlin Securities, Inc., (Claimant) vs. Charles Evan Giamo, Michael JohnGiangregorio, Thomas E. Egan, and Jason A. Sims, (Respondents) Case Number: 00-03446 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Kirlin Securities, Inc., hereinafter referred to as "Claimant": Isaac M. Zucker, Esq., General Counsel, Kirlin Securities, Inc., Syosset, NY. Previously

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Darrel Flanel, (Claimant) vs. Lehman Brothers Inc., Lehman Brothers Holdings, Inc., Lehman Brothers Holdings, Inc. Employee Incentives Plan and the Committee of the Lehman Brothers Holdings, Inc. Employee Incentive Plan, (Respondents) Case Number: 00-03341 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Darrel Flanel, hereinafter referred to as "Claimant"

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Edward Feldman, as Trustee of the Edward Feldman Revocable Trust Beatrice Eibner Frances T. Hammes Donald D. and Mary V. Nixon Paul Oswald Edward W. and Sondra L. Persichetti Kenneth Porter, Jr. Frank A. Romano, individually and as Trustee of The Romano Family Trust Names of Respondents Anchor Management Group, Inc L

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Leona M. Clothakis IRA, Claimant v. First Security Van Kasper and Brian Olton, Respondents Case Number: 01-02487 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Anthony M. Englese, Esq. San Francisco, California For Respondent First Security Van Kasper: Gordon C. Young, Esq. Keesal, Young & Logan San Francisco, California For Respond

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant James W. Hamilton, Jr. Case No. 00-03080 Names of Respondents Prudential Securities, Inc. David Munro Pierce Joseph Thomas Grippi REPRESENTATION OF PARTIES For James W. Hamilton, Jr. ("Hamilton"), hereinafter referred to as "Claimant": S. Lawrence Polk, Esq., Sutherland Asbill & Brennan LLP, Atlanta, Georgia. For Prudential Securities, Inc.

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Case Number: 00-03050 Hearing Site: Houston, Texas REPRESENTATION OP PARTIES Claimant Oscar A. Buck hereinafter referred to as "Claimant": M. W. Meredith, Jr. Esq. of Meredith, Donnell & Abernethy, Corpus Christi, Respondents, Merrill Lynch, Pierce, Fenner & Smith Inc and Ramon R. Smith and Julia M. Wells Duran hereinafter collectively referred to as "Respondent

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between The Estate of Virgil Adolph Guenther, by its personal Representative, Margadette M. Demet; Virgil Guenther, Jr. Revocable Living Trust,by its trustee, Margadette M. Dent; and Ardell Guenther, by his guardian, Kevin Demet Case No. 00-03078 J.E. LJss & Co., Inc.; Liss Financial Services; Jerome E. Liss; and Red Oak Financial Corporation Hearing Site: Milwaukee, Wisconsin