Award NASD Dispute Resolution In the Matter or the Arbitration between: Name of the Claimant Case Number: 02-06652 Gregory Pagans Name of the Respondent Hearing Site: Boca Raton, Florida Mesirow Financial, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Gregory Pagans ("Pagans"), hereinafter referred to as "Claimant": William S. Isenberg, Esq., Fort Lauderdale, Florida. For Mesirow Financial, Inc. ("MF

Stipulated Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Robert M. Willis and Shirley J. Willis, Claimants v. Sutro & Co. nka RBC Dain Rauscher, Inc., Edward L. Dawson, and The Lincoln National Life Insurance Co., Respondents Case Number: 02-06651 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Members and Associated Person Member and Associated Person v. Custdmers REPRESENTATION OF PARTIES

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06642 Pauline Rainone, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc. and Joshua R. Post, Respondents. ATTORNEYS: Claimant, Pauline Rainone, ("Claimant"), appeared pro se, Melbourne, FL. For Respondents, Merrill Lynch Pierce Fenner & Smith, Inc. and Joshua R. Post, (collectively "Respondents"), appeared Daren A. Luma, Esq., New York, NY. NATURE OF DISPUTE; Customer v. Member and A

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06641 The Recker Family Trust, claimant vs. Matthew Straub and H&R Block Financial Advisors, Inc., respondents. ATTORNEYS: For Claimant appeared Peter E. Recker, Livonia, MI. For Respondents appeared in-house counsel, Donald P. Wray, Jr., Esq., Detroit, MI. DATE FILED: November 4, 2002 CASE SUMMARY: Claimant alleged that respondents failed to provide pertinent information regarding t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06640 Albert Esteban, claimant vs. Salomon Smith Barney Inc., respondent. ATTORNEYS: Claimant appeared pro se, Panama City Beach, FL. For Respondent appeared in-house counsel Ann Parry, Esq., New York, NY. DATE FILED: November 4, 2002 CASE SUMMARY: Claimant alleged that respondent ignored his requests for a conservative portfolio and placed his money in unsuitable mutual funds. Claimant

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number- 02-06637 Morad Abou-Sabe Name of the Respondents Hearing Site- Philadelphia, PA Aetna Financial Services, Inc. Gitterman & Sacks, LLC Jeffrey L. Gitterman Neil J. Sacks Nature of the Dispute: Customer v. Terminated Member, Non-Member Without a Contract, and Associated Persons. RF.PRF.SFNTATTON OF PARTTRS Claimant, Mora

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-06627 Robert C. Fortenberry, M.D. Dolores S. Fortenberry Names of the Respondents Hearing Site: New Orleans, LA Victor I. Talbert H.D. Vest Investment Securities, Inc. H.D. Vest Advisory Services, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert C. Fortenberry

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Case. Number 02-06626 George M. Ruppert nf thf pffspflnHftnts Hearing Site: Washington, DC Deutsche Bank Securities, Inc. William Mark Clark Nature of the Dispute: Customer vs. Member and Associated Person. RFPRRSFNTATTONT OF PARTTF.S Claimant, George M. Ruppert ("Claimant"), was represented by Michael Knoll, Esq., Law Office of Michael Knoll, Briarcliff Manor, New York.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number- 02-06625 Anthony G. Teti Name nf the Respondents Hearing Site- Philadelphia, PA Jason Remini Seaboard Securities, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Anthony G. Teti, hereinafter referred to as "Claimant", was represented by Anthony J. Horn, Esq., Attorney at Law, New

Award NASD Dispute Resolution, Inc, In the Matter of the Arbitration Between Name of Claimant GKN Securities, Inc. Case No. 00-04132 Names of Respondents Newbridge Securities Corp. Howard Frank Weinman Nick Apostolos Mountoulias Jason L. Kerprich Richard Furtnan Edwards, Jr. Richard Nelson Pagan Ralph Merhi Scott Howard Goldstein Guy Steven Amico REPRESENTATION OF PARTIES For GKN Securities, Inc. ("GKN"), hereinafter