Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joan Conway, individually, and as Trustee for the Thomas A. Conway Trust u/t/d 3/11/98 (Claimants) v. CIBC Oppenheimer n/k/a Oppenheimer & Co. division of Fahnestock, Fahnestock & Co., Inc., CIBC World Markets Corp., Arthur Gerard Caione, and Arthur Alexander Caione (Respondents) Case Number: 03-00579 Hearing Site: New York, New York Nature of the Dispute: Customers v. Me

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John E. Plum (Claimant) v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Jack B. Grubman (Respondents) Case Number: 03-00576 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant John E. Plum ("Plum") hereinafter referred to as "Claimant": Mark J. Krudys, Esq., Mark J. Krudys, P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Victor Chehebar, MD (Claimant) v. CIBC World Markets Corp., Steve Condos, and Chuck Roberts (Respondents) Case Number: 03-00570 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Victor Chehebar, MD ("Chehebar") hereinafter referred to as "Claimant": David A. Schrader, Esq., Schrader & Schoenberg

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04352 Guy N. Gates, Claimant vs. LCP Capital Corp., Respondent. ATTORNEYS: For Claimant, Guy N. Gates ("Claimant"), appeared Kevin P. Whiteford, Esq. of the law firm Leder & Whiteford, LLP, Sacramento, CA. For Respondent, LCP Capital Corp. ("Respondent"), appeared Charles M. O'Rourke, Esq., Woodbmy, NY. . * DATE FILED: October 2, 2000. CASE SUMMARY: Claimant alleged that Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00564 John W. Hendrix, IRA Names of the Respondents Hearing Site: Orlando, FL Prudential Securities, Inc. Warren R. Thompson Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John W. Hendrix, IRA, hereinafter referred to as "Claimant": Robert Dyer, Esq., Allen, Dyer, Doppelt, Milbrath & Gi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Suzanne Spenner-Hupy and ' 03-00559 *- Milwaukee, Wisconsin Name of Respondents Robert W. Baird & Co. Incorporated DavidS. Epstein Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Suzanne Spenner-Hupy ("Claimant") was represented by Stephen E. Kravit, Esq., Kravit Gass Hovel &Leitner, S.C., Milwaukee, Wis

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Alan Toppel and Charlotte Toppel and 03-00557 Phoenix, Arizona Name of Respondents UBS PaineWebber, Inc. n/k/a UBS Financial Services Inc. Harold Langer Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATTQN OF PARTIES Alan Toppel and Charlotte Toppel ("Claimants") were represented by Gregory E. Good, Esq., Gregory E. Go

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Ronald Fortner, as executor of the Estate of Doris Erika Berg v. 03-00556 Denver, Colorado Respondents UBS PaineWebber, Inc., Raymond K. Burkland and Diane K. Burkland Counter-Claimants Raymond K. Burkland and Diane K. Burkland v. Counter-Respondent Ronald Fortner, as executor of the Estate of Doris Erika Berg Cross-Claimants/Cross-Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Linda Hazel Sherman, Edwin Bernard Sherman, and The Sherman Family Trust, Claimants v. Henry M. Korngut and Bear Stearns & Co., Inc., Respondents Case Number: 03-00552 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Jeff Dennis Ferentz, Esq. Jeff Dennis Ferentz, Inc. Newport Beach,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Estate of Paul Freud Wotman, Claimant v. E*Trade Securities LLC, Respondent Case Number: 03-00550 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Carrie Moulton, Esq. Hallisey & Johnson San Francisco, California For Respondent: John Bersin E* Trade Financial Rancho Cordova, California C