Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Nationwide Investment Services Corp. Case No. 00-04213 Name of Respondent Lawrence Morris Rothermel Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Nationwide Investment Services Corp. ("Nationwide"), hereinafter referred to as "Claimant": Robert P. Riordan, Esq. and Lisa M. Durham, Esq. of Alston & Bird, LLP, Atlanta, Georgia.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07246 Alvin L. Starks Name of the Respondent Hearing Site: Orlando, Florida Prudential Securities Incorporated Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Alvin L. Starks, referred to as "Claimant": David A. Weintraub, Esq., David A. Weintraub, P.A., Fort Lauderdale, Florida. For Prudential Securities Inco

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07244 UBS Paine Webber, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Sean Miller REPRESENTATION OF PARTIES For UBS Paine Webber, Inc. (UBSPW), hereinafter referred to as "Claimant": Randi Spallina, Esq., Davidson, Manchel, & Brennan, LLP, Northvale, New Jersey. Respondent Sean Miller appeared pro se. CASE INFORMATION

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Henry Ross (Claimant) v. David Lerner Associates, Inc. and Douglas Roy Albert (Respondents) Case Number: 02-07235 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Henry Ross ("Ross") hereinafter referred to as "Claimant": Martin P. Unger, Esq., Certilman Balin Adler & Hyman, LLP, East Meadow, NY.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brenda Ross, Claimant v. Crown Capital Securities, L.P. and Donald Traywick, Respondents Case Number: 02-07222 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: William S. Bonnheim, Esq. Anderholt Bonnheim & Casden LLP Palm Desert, California For Respondents: Craig R. Bockman, Esq

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Space Spinoffs, Inc. and Lawrence H. Kuznetz and Names of Respondents UBS Financial Services, Inc. John V. D'Oliver Case Number: 02-07221 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Space Spinoffs, Inc. and Lawrence H. Kuznetz ("Claimants") were represented by Angela

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Amy L. Buckley and 02-07220 Phoenix, Arizona Name of Respondents Robert W. Baird & Co., Inc. Rock J. Eiden Ronald J. Farley Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Amy L. Buckley ("Claimant") was represented by Jeana R. Webster, Esq. and Martin R. Galbut, Esq., Galbut & Hunter, P.C., Phoenix,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Tommie J. and Mary E. Leslie JTWROS Tommie J. Leslie Names of the Respondents Michael Sidney Wooton American Fronteer Financial Corporation Auerbach, Pollak & Richardson, Inc. Case Number: 02-07219 Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Tommie J. and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-07211 Herman J. Fox, Individually and as Trustee of the Herman J. Fox Trust UDA 5/9/96 Clover G. Fox, Individually and as Trustee of the Clover G. Fox Trust UDA 5/9/96 Names of the Respondents Hearing Site: Tampa, FL Prime Charter, Ltd. n/k/a Fahnestock & Co., Inc. Richard Thomas Jean Nature of the Dispute: Customer vs. Member and A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Baker, Claimant v. American Express Financial Advisors Inc. and Stanley Cohen, Respondents Case Number: 02-07209 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Joel R. Bennett, Esq. Bennett & Fairshter, LLP Pasadena, California For Respondents: Elizabeth Lowery, Esq.