CASE: 03-00853 Charles Schwab & Company, Inc., claimant vs. Francis Daulerio, respondent ATTORNEYS: For Claimant appeared in-house counsel Richard A. Karoly, Esq., San Francisco, CA. Respondent did not respond to the Statement of Claim. DATE FILED: February 5, 2003 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed as a result of a debit balance. Claimant maintained that because of respondent's actions, the firm suffered a loss.

I Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Nancy Caldwell-Tedesco Name of the asp NIITTIher- 03-00850 Hearing Site- Charlotte, North Carolina Merrill Lynch, Pierce, Fenner & Smith Inc., James Joseph Hennessy and Michael Rex Crosett, Sr. Nature of the Dispute: Customer vs. Member and Associated Persons. RRPRKSFNTATTON OF PARTTFS Claimant Nancy Caldwell-Tedesco, hereina

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00847 Rina Mehra and Raksha Mehra and Name of the Respondents Hearing Site: Chicago, Illinois Donaldson, Lufkin & Jenrette Securities Corporation Credit Suisse First Boston Corporation, and Michael Dockendorf REPRESENTATION OF PARTIES Claimants Rina Mehra and Rakesha Mehra, ("Claimants"), were represented by Michael Lor

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jean L. Leek and 03-00845 Phoenix, Arizona Name of Respondents A.G. Edwards & Sons, Inc. John Lewis Tate Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Jean L. Leek ("Claimant") was represented by Robert D. Mitchell, Esq., Mitchell Law Offices, Phoenix, Arizona. A.G. Edwards & Sons, Inc. ("Responden

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Susan M. Harrington Trust, U/A Dated 8/21/95, by and through Michael T. McDowell, as Co-Trustee and Kathleen Smith, as Co-Trustee, Claimants vs. Stifel, Nicolaus & Company,' Incorporated and Girard Augustus Munsch, Jr., Respondents. Case No. 03-00^40 Hearing Site: St. Louis, Missouri Customer vs. Member Firm and Associated Person Claimant, The Susan M.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth R. Kimmins IRA (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Michael C. Fitch (Respondents) Case Number: 03-00835 Hearing Site: Buffalo, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Kenneth R. Kimmins IRA ("Kimmins") hereinafter referred to as "Claimant": Russell C. Weigel, HI, Esq

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00834 Dennis W. Orcutt, Claimant vs. U.S. Bancorp Piper Jaffray Inc., Paula Barry, Steve Berglund, Frank Buchholz, and Kay Hokenstrom, Respondents. ATTORNEYS: For Claimant appeared L. Michelle Orcutt, Littleton, CO. For Respondents appeared in-house counsel, Jennifer R. Relien, Esq., Minneapolis, MN. DATE FILED: February 4, 2003 CASE SUMMARY: Claimant alleged that he requested Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joan F. Cammett (Claimant) vs. Frederic Silverman and Fahnestock & Co., Inc. (Respondents) Case Number: 03-00833 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Joan F. Cammett hereinafter referred to as "Claimant": David W. Krumsiek, Esq., Preti Flaherty Beliveau Pachios & Haley, Boston, MA

Award NASD In the Matter of the Arbitration Between: Name of the Claimant John J. Quinn, III Names of the Respondents Prudential Securities, Inc. and Michael E. Bass Case Number: 00-04394 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For John J. Quinn, III, hereinafter referred to as "Claimant": John C. Taylor, Jr., Esq., Taylor, Day & Currie, Jacksonville, Florida. For Respondent Prudential Securities, Inc., hereinafter referre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Oleg Briansky, Oleg Briansky IRA, Mireille Briane, Mireille Briane IRA, Oleg Briansky and Mireille Briansky, and Briansky Saratoga Ballet Center, Inc. (Claimants) v. InvestPrivate, Inc., Michael Ventura a/k/aHichem Dhaouadi, Scott L. Mathis, and Donald Geraghty (Respondents) Case Number: 03-00831 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associa