NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01668 Continental Broker-Dealer Corporation, Claimant v. Eric McDonnell, Respondent. ATTORNEYS: For Claimant, Continental Broker-Dealer Corporation, ("Claimant"), appeared Scott Wassmuth, Esq., Carle Place, NY. Respondent, Eric McDonnell, ("Respondent") did not respond to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 10, 2003 ~~ CASE SUMMARY

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeffrey King and Linda King (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 03-01666 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Jeffrey King ("J. King") and Linda King ("L. King") hereinafter collectively referred to as "Claimants": Howard M. Rosenfield, Esq., Farmington,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01663 Francis Reilly Caroline Reilly Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Anthony DiNallo Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Francis Reilly and Caroline Reilly, hereinafter referred to as "Claimants"

NASQ DISPUTE RESOLUTION AWARD NA^D DISPUTE RESOLUTION CASE: 03-01661 Gerald and Bernice Schaefer, claimants vs. J.W. Charles Securities Inc., respondent. ATTORNEYS: Claimants appeared pro se, Delray Beach, FL. For Respondent appeared Howard A. Tescher, Esq., of the firm Kipnis Tescher Lippman & Valinsky, Fort Lauderdale, FL. DATE FILED: March 7, 2003 CASE SUMMARY: Claimants alleged that respondent misrepresented facts regarding the purchase of C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Urbani Family Trust U/A dated 12/31/84, Claimant v. A.G. Edwards & Sons, Inc. and Michael L. Tahmoush, Respondents Case Number: 03-01659 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Mitchell S. Ostwald, Esq. Sacramento, California For Respondents: Daryl S. Landy, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sheila Perrin, Claimant v. UBS Paine Webber, Inc. and John R. McDonald, Respondents Case Number: 03-01656 Hearing Site: Seattle, Washington Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Stephen M. Hansen, Esq. Lowenberg, Lopez & Hansen, P.S. Tacoma, Washington For Respondents: Ted W. Lieu, Esq. UBS Paine Webber, Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William McGeever and Evelyn McGeever, Trustees of the William E. & Evelyn J. McGeever Living Trust DTD 12/15/98, Claimant v. UBS Financial Services Inc., Michael E. Hack and James H. Ross, Respondents Case Number: 03-01655 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Timothy A. C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between David B. Tardy Case No. 00-04477 Jefferson Pilot Securities, Corporation Paul G. Romweber John E. Longmire Hearing Sitfv Richmond, Virginia Claimant, David B. Tardy ("Claimant") was represented by J. Mark Gregory, Esq. of the law firm of Hairfield & Morton, PLC, Richmond, VA. Respondent Jefferson Pilot Securities Corporation ("Jefferson Pilot") and John E. Longmire

05/08/01 WED 09:47 FAS NASD REGULATION $002 Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bane of America, LLC, (Claimants) v, Thomas J. Spellman, (Respondent) Case Number 00-00449 Hearing Site: Chicago, Illinois Claimant Bane of America, LLC ("Bane of America"): John Guarisco, Esq., Neal, Gerber & Eisenberg, Chicago, Illinois, Respondent Thomas J. Spellman ("Spellman") was pro se £ASEJNFO%MATIQN State

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, of the Claimants Case Tshimher 03-01652 Fred Freese Alicia Freese Fred Freese, KEOGH Name of thft Pftspnnftents Hearing Site! Philadelphia, PA Linsco/Private Ledger Corp. Mark J. Angelo Financial Services Mark J. Angelo Nature of the Dispute: Customers v. Member, Non-Member and Associated Person. REPRESENTATION OF PARTTF.S Claimants, Fred Freese,