Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Steven L. Morand and Gig Klein Morand (Claimants) v. First Montauk Securities Corp., Montauk Financial Group, Robert L Rabinowitz, Michael Strasser, and Scott Flynn (Respondents) Case Number: 02-07808 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member, Non-Member, and Associated Persons. REPRESENTATION OF PARTIES Claimants Dr. Steven L. Mo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shirley D. Simon and Adam F. Simon, Claimants v. Marshall J. Field, The Heritage Group, Inc., Marshall J. Field & Co., Inc., Passport Securities, Inc., and American National Municipal Corporation, Respondents Case Number: 02-07804 Hearing Site: Los Angeles, California Nature of the Dispute; Customers v. Members and Associated Person REPRESENTATION OF PARTIES For Claimants:

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Adolf Miralles and Maria Miralles, Claimants v. Trusted Securities Advisors Corp. and David Abernethy, Respondents Case Number: 02-07802 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Jonathan W. Evans, Esq. Jonathan W. Evans & Associates Studio City, California For Responden

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between f Claimant Alexis D. Russell Case No. 00-04284 Prudential Securities, Inc. Scott A. Cohen ing Site- Washington, D.C. OF PAPTTVS Claimant, Alexis D. Russell ("Russell") referred to as "Claimant": John P. Connolly, Esq. and Ford C. Ladd, Esq., Law Offices of John P. Connolly, Alexandria, VA. Respondents, Prudential Securities, Inc. ("Prudential") and Scott A. Cohe

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants: Rahim Amir Mamori and Betty Lou Mamori Case Number: 02-07797 Names of the Respondents: Hearing Site: Houston, Texas UBS Financial Services, Inc., Ali Fahr, and Ahmad Fakhr NATURE OF DISPUTE Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTIES: Rahim Amir Mamori and Betty Lou Mamori ("Claimants") were represe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Frederick J. Shaheen and Joann P. Shaheen and Respondents Robert Dekker, Metro Financial Group, Inc., Questar Capital Corp., and Mutual Service Corp. Case Number: 02-07796 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customer v. Associated Person, Non-Member and Members REPRESENTATION OF PARTIES Frederick J. Shaheen and Joann P. Shaheen

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Norma J. Muir, TTEE Muir Family Trust and 02-07794 Phoenix, Arizona Name of Respondents Prudential Equity Group, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Norma J. Muir, TTEE Muir Family Trust ("Claimant") was represented by Paul A. Conant, Esq., Thomson Conant PLC, Phoenix, Arizona. Prudential Equity Group, LLC ("R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-07792 Rasiklal Nagda Harshada Nagda Sofia R. Nagda Custodial Account Drew Nadga Custodial Account Sonia R. Nagda Custodial Account Names of the Respondents Hearing Site: Orlando, Florida New England Securities Corp. Dipak Shah Sami Qutby New England Life Insurance Company Nature of the Dispute: Customers vs. Member, Non-

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-07788 Beverly Fleisig and Merrill F. Brotman, Co-Trustees U/A/D 2/18/87 Beverly Fleisig Trustee of the Earl Fleisig Trust U/A/D 2/18/87 Name of the Respondent Hearing Site: Boca Raton, Florida Salomon Smith Barney, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Beverly Fleisig and Merri

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joel Flig and Joan Flig (Claimants) v. Prudential Equity Group, Inc. #k/a Prudential Securities, Inc. and Andrew Wolff (Respondents) Case Number: 02-07786 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Joel Flig ("Joel Flig") and Joan Flig ("Joan Flig") hereinafter collectively referred to as