NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01376 PHD Capital Management Corporation LLC., Claimant vs. Justin Inniss, Respondent. ATTORNEYS: For Claimant appeared Michael S. Colombo of the firm StreetWide Asset Recovery Group, Inc., Jersey City, NJ. Respondent did not respond to the Statement of Claim. DATE FILED: February 25, 2003 CASE SUMMARY: Claimant alleged that Respondent has failed to repay monies owed being a balance

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01369 George Oram Patricia Oram Names of the Respondents Hearing Site: Boca Raton, Florida K.W, Brown Investments, Inc. Kenneth William Brown Wendy Elizabeth Brown K.W. Brown Investments 21 s1 Century Advisors, Inc. Nature of the Dispute: Customer v. Member, Associated Person and Non-member. REPRESENTATION

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Johnnie Williams, Jr. Names of the Respondents Irving Warman, Fiserv Investor Services, Inc., PFIC Securities Corp. and BHCM, Inc. Case Number: 03-01368 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Johnnie Williams, Jr., hereinafter referred to as "Claimant": Cur

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lloyd Rudy, Jr., M.D, on behalf of the Lloyd Rudy, Jr. Rollover IRA, Claimant v. John G. Woodhead, Sr., Phelps & Woodhead Investments, and D.A. Davidson & Co., Respondents Case Number: 03-01366 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: Maris Baltins, Esq. Winston & Cashatt Spokan

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01360 Bonnie J. Haycraft, Claimant v. D.A. Davidson & Co. and Con L. Wilcox, Respondents. ATTORNEYS: For Claimant, Bonnie J. Haycraft, ("Claimant"), appeared Terry C. Haycraft, Tacoma, WA. For Respondents, D.A. Davidson & Co. and Cort L. Wilcox, ("Respondents") appeared Anders T. Berry, Esq., Great Falls, MT. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: Februar

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Dale E. Frey v. 03-01359 Denver, Colorado Respondents D.E. Frey & Company, Inc., D.E. Frey Group, Inc., First Allied Securities, Inc., Royce Nies, Paul L. Hocevar, Larry D. Hay den, and David Wharton Nature of Dispute: Associated Person v. Member, Terminated Member, Associated Persons and Non-Member REPRESENTATION OF PARTIES Dale E. Frey ("Claimant")

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lawrence D, Fagundes, Debbie E. Fagundes, Larry Fagundes IRA, Debbie E. Fagundes, Custodian for the Logun D. Fagundes U/CA/UTMA, and Debbie E. Fagundes, Custodian for the Dakota E. Fagundes U/CA/UTMA, Claimants v. Citigroup Global Markets, Inc. fk/a Salomon Smith Barney, Inc. and Tracy R. Turner, Respondents Case Number: 03-01356 Hearing Site: San Francisco, California Nature of the

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimants David Leger and Thomas Bolera Case Number: 00-04456 Name of the Respondents First Union Securities, Inc., Mohammad S. Rahman, and James G. Osborne Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimants David Leger ("Leger") and Thomas Bolera ("Bolera") hereinafter collectively referred to as "Claimants": Erwin Conn, Esq. of th

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Neal Carter M.D. and Kim Carter, and W. Neal Carter TTEE Atwater Medical Group Profit Sharing Plan, Claimants v. First Union Securities, Inc. (formerly known as Everen Securities, Inc.) now dba Wachovia Securities, LLC, Linsco/Private Ledger Corp. and Prudential Equity Group, LLC Respondents Case Number: 03-01355 Hearing Site: San Francisco, California Nature of the Dis

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Edward R. Bloomquist and Lila Mae Bloomquist, Claimants v. Piper JaSray & Co. f.k.a. U.S. Bancorp Piper Jaf&ay, Inc., Wachovia Securities, LLC f.k.a. First Union Securities, Inc., and Brian Henderson, Respondents Case Number: 03-01352 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant