r ft AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant McDonald Investments, Inc. and Case Number: 02-06806 Hearing Site: Louisville, Kentucky Name of Respondent James B. Spear NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES McDonald Investments, Inc. ("Claimant" or "McDonald Investments") was represented by Matthew J. Morelli, Esq., Ulmer & Berne LLP, Clevela

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dagmar Wineinger [Claimant] v. U.S. Bancorp Piper Jaffray and Vincent H. Rossi [Respondents] Case Number: 02-06805 Hearing Site: Phoenix, Arizona REPRESENTATION OF PARTIES For Claimant(s): Mark D. Lammers Dagmar Wineinger Anson, Lammers & Barkley 3430 E. Sunrise Dr., Ste. 170 Tucson, AZ 85718 For Respondent(s): Lisa M. Bertain U.S. Bancorp Piper Jaff

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Martha Zilbermann and Margaret Apple and Case Number: 02-06804 Hearing Site: Houston, Texas Name of Respondent Morgan Stanley DW, Inc. NATURE OF DISPUTE Customers v. Member Firm REPRESENTATION QF PARTIES Martha Zilbermann and Margaret Apple ("Claimants") were represented by Christopher J. Bebel, Esq., of Sacks, Bebel and Boll, in Houston, Texas.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case. Number- 02-06799 Hilda G. Williamson Mary Ellis Gallucci Victoria Gallucci George L. Gallucci Robert R. Gallucci Anthony P. Gallucci Michael D. Gallucci Name of the Respondents Hearing Site: Pittsburgh, PA First Union Securities, Inc. James Hargreaves Nature of the Dispute: Customers vs. Member and Associated Person. RFPRFSFNTA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Namp nf thp Plaimant ray^Tnlw 00-04147 Raike Financial Group, Inc. Hiring Sitfi' Philadelphia, PA George Neff. George Riccio n Claimant, Raike Financial Group, Inc. ("Raike"), hereinafter referred to as "Claimant", was represented by Ruthann G. Niosi, Esq., Law Offices of Ruthann G. Niosi, Esq., PC, New York, New York. Respondent, George Neff ("Neff ), hereinafter re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Holly Jeske Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith Incorporated Case Number: 02-06797 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Holly Jeske, hereinafter referred to as "Claimant": Adam S. Doner, Esq., Gordon & Doner, P.A., Palm Beach Gardens, Florida. For

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Agnes M. O'Neill, Claimant v. Prudential Securities, Inc. (n.k.a. Prudential Equity Group, LLC), Mark W. Sloan, Mark Ewing, and Charles J. McFadden, Respondents Case Number: 02-06790 Hearing Site: San Francisco., California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: J. Kevin O'Neal Lafayette, California

In the Matter of th C. James Jensen, Respondents Case Number: 02- Award NASD Dispute Resolution Arbitration Between: Claimant v. First Montauk Securities Corporation and Michael Jay Strasser, 36787 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondent Michael Jay Strasser: Statement of Ans Robert L. Gonser, Esq. Resol

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary Elizabeth Brunson and Barbara Jane Duncan, Claimants v. Wachovia Securities, LLC flea First Union Securities, Inc. and Gary T. Hoimquist, Respondents Case Number: 02-06786 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: John K. Duncan, Esq. Long Beach, California For Responde

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Lucian Lamar Sneed Glenda B. Sneed Name of the Respondent Fidelity Brokerage Services, LLC, f/k/a Fidelity Brokerage Services, Inc. CaseJNumber: 02-06782 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Lucian Lamar Sneed and Glenda B. Sneed, hereinafter collectively referred to as