AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant C. Ruby Faverio v. 02-07452 Denver, Colorado Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Wells Fargo Brokerage Services, LLC, and Gregory C. Richardson Nature of Dispute; Customer v. Members and Associated Person REPRESENTATTON OF PARTIES C. Ruby Faverio ("Claimant") was represented by Thomas A. Swett, Esq., of Hurth, Sisk, Yeager & Blakemo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Linda S. Reynhout, Linda Reynhout IRA, and Ramon H. Caputo IRA (Claimants) v. S.C. Parker & Company, Inc., Kenneth R. Stewart, and Richard M. Hilliker (Respondents) Case Number: 02-07451 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Linda S. Reynhout ("L. Reynhout"), Linda Reynhout IRA ("L. Rey

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07450 Eugene H. Axelrod, Claimant vs. Charles Schwab & Co., Inc., Respondent. ATTORNEYS: Claimant, Eugene H. Axelrod ("Claimant") appeared Pro Se., Plymouth, MI Respondent, Charles Schwab & Co., Inc., ("Respondent") appeared through its in-house counsel, Brandon K. Hemley, Esq., San Francisco, CA. DATE FILED: December 10, 2002 CASE SUMMARY: Claimant alleged that he requested that Respond

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Dresdner Kleinwort Wasserstein Securities, LLC, (Claimant) vs. FTC Securities, Inc. (Respondent) Case Number: 02-07444 Situs: New York, New York REPRESENTATION OF PARTIES: Dresdner Kleinwort Wasserstein Securities, LLC, hereinafter referred to as "Claimant": Mark S. Cohen, Esq., Cohen & Gressler, LLP, New York, NY. Previously represented by: Walter Petzinger, Esq., Director & As

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Thomas W. Geoghegan and Donna S. Geoghegan and 02-07438 Phoenix, Arizona Name of Respondents Greenberg Financial Group f/k/a Greenberg Nehls & Co., LLC Dean S. Greenberg REPRESENTATION OF PARTIES Thomas W. Geoghegan and Donna S. Geoghegan ("Claimants") were represented by Bruce R. Heurlin, Esq., Karp, Heurlin & Weiss, P.C., Tucson, Arizona. Green

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, Inc. f/k/a First Union Securities, Inc. and Anthony Lapia, Claimants, vs. William A. Stephens, Jr., Respondent. Case Number: Hearing Site: 02-07435 Houston, Texas Nature of Dispute: Member Firm and Associated Person vs. Customer ttv.pF.g.NT A HN n Claimants, Wachovia Securities, Inc. f/k/a First Union Securities, Inc. and Anth

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Jane J. Rogers, individually, and Marjorie Rogers Marrichi, in her capacity as Trustee of the Jane J. Rogers Trust U/A DTD 8/27/84 and Names of Respondents Northern Trust Securities, Inc. and Jeffrey G. Sweno Case Number: 02-07434 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member and Associated Person REPRESEN

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eric Bryan Seuthe, Claimant v. TD Waterhouse Investor Services, Inc., Respondent Case Number: 00-04222 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Eric Bryan Seuthe, Esq. Eric Bryan Seuthe & Associates Beverly Hills, California For Respondent: John L. Erikson, Jr., Esq. Jones Bell Abbott Fleming & Fitzgerald Los Angeles, California C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Plaimant Case Number 02-07431 Kenneth B.Beechner Names of the RespnnHents Hearing Site! Washington, D.C. BettyO'Lear World Invest Corporation Royal Alliance Associates, Inc. Donaldson, Lufkin & Jenrette Securities Corporation, Nature of the Dispute: Customer vs. Members, Member Terminated and Associated Person PFPRFSENTATTON OF PARTIES Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sherilyn Gilmore, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case Number: 02-07427 Hearing Site: San Diego, California Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Claimant: G. Mark Brewer, Esq. Daniel M. Carlson, Esq. Brewer & Carlson, LLP La Jolla, California For Respondent: Garrett K. Craig, Esq. Jennifer A. Rat