Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth I. Wissner (Claimant) v. Fin Atlantic Securities, S.G. Martin Securities, LLC, and Lance Mitchell Kluger (Respondents) Case Number: 03-02624 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member, Terminated Member, and Associated Person. REPRESENTATION OF PARTIES Claimant Kenneth I. Wissner ("Wissner") hereinafter referred to as "Claimant": Leslie

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02623 Robert Marion Ward and Betty Mayher Ward, Claimants vs. OptionsXpress, Inc., Respondent. ATTORNEYS: Claimants appeared pro se, Alexandria, VA. For Respondent, OptionsXpress, Inc., appeared Jennifer Zordani, Esq. of the firm Ungaretti & Harris, Chicago, IL. DATE FILED: April 9, 2003 CASE SUMMARY: Claimant alleged that Respondent failed to properly execute an orders to sell long

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alan K. Goldberg, Trustee, on behalf of the Plan Participants and Beneficiaries of the Alan K. Goldberg, DDS, Inc., Profit Sharing Plan (Claimant) vs. Prim Securities, Inc., Brecek & Young Advisors, Inc., and Patrick J. Walters (Respondents) Case Number: 03-02621 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02620 M. Elaine Dickson and John R. Robertson, Claimants v, UBS Financial Services Inc. f/k/a UBS PaineWebber, Inc., Robert Long, and Jan L. Long, Respondents. ATTORNEYS: Claimants, M, Elaine Dickson and John R. Robertson, ("Claimants"), appeared pro se, Overland Park, KS. For Respondents, UBS Financial Services Inc. f/k/a UBS PaineWebber, Inc., Robert Long, and Jan L. Long, ("Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: R. Scott Taylor (Claimant) v. InterSecurities, Inc. and Herbert A. Pontzer (Respondents) Case Number: 03-02619 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant R. Scott Taylor ("Taylor") hereinafter referred to as "Claimant": Robert J. Hollingworth, Esq., Cors & Bassett, LLC, Cincinnati, OH.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marie B. Yvon (Claimant) v. Edward Jones Investments and John E. Zahner (Respondents) Case Number: 03-02618 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Marie B. Yvon ("Yvon") hereinafter referred to as "Claimant": Kathleen Eldgergill, Esq., Beck & Eldergill, P.C., Manchester, CT. Responde

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vladimir Bakhourov and Irina Bakhourova (Claimants) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Citigroup, Inc., Nelson "Nick" Schiff, and Jack Grubman (Respondents) Case Number: 03-02617 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member, Non-Member, and Associated Persons. REPRESENTATION OF PARTIES Claimants Vladimir Bakhourov

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Katrine V. Warfield Trust, by William J. O'Hare, as Trustee, and Katrine V. Warfield, individually (Claimants) v. Golden Harris Capital Group, Inc., J.B. Hanauer & Co., and Gerard O'Hare (Respondents) Case Number: 03-02614 Hearing Site: New York, New York Nature of the Dispute: Customers v. Members and Associated Person. REPRESENTATION OF PARTIES Claimants The Katrine V. War

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dean Witter Reynolds, Inc., (Claimant) vs. Prudential Securities Incorporated, Joseph Amato, Michael Braccia, Daniel Delrosso, John A. Zadwydas, and Gerard Marini, (Respondents) Case Number: 00-04507 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Dean Witter Reynolds, Inc., hereinafter referred to as "Claimant": Lawrence D. Bernfeld, Esq., Graubard Mollen

Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles S. Kirwan (Claimant) vs. Prudential Securities, Inc., n/k/a Prudential Equity Group, LLC, Stephen Christopher Attar, and Paul Victor Kappel (Respondents) Case Number: 03-02612 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Charles S. Kirwan, Esq., ("Claimant") appeared pro se.