Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Marvin E. and Carol J. Simpson Case No. 00-04103 Name of Respondent Investment Management & Research, Inc. Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Marvin E. and Carol J. Simpson hereinafter collectively referred to as "Claimants": Joel A. Goodman, Esq. of Goodman & Nekvasil, P.A., Clearwater, FL. For Investment Management & Research, Inc. ("IMR")

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the riaimantq Case Number • 02-06308 Kathryn Slobodian Stephen M. Solomich Names: of the Respondents Hearing Site- Pittsburgh, PA Solomon Smith Barney n/k/a Citigroup Global Markets, Inc. and Cheryl R. Schwarzwaelder Nature of the Dispute: Customers vs. Member and Associated Person RFPRF.SF.NTATTON OF PARTIES Claimants, Kathryn Slobodian and Stephen M. Solomic

CASE: 02-06301 Emilio A. Aljure, claimant vs. Datek Online Financial Services, Chris Russell, and Michael McGrath, respondents. ATTORNEYS: Claimant appeared pro se, Cali } S.A. Colombia. For Respondents appeared Usman S. Mohammed, Esq. of the firm Jones Bell Abbott Fleming & Fitzgerald, Los Angeles, CA. DATE FILED: October 21, 2002 CASE SUMMARY: Claimant alleged that respondents executed a market order when he placed a trailing order to sell

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06300 Robert Keese, claimant vs. Kurt Emerick and Raymond James Financial Services, Inc., respondents. ATTORNEYS: Claimant appeared pro se, Corpus Christi, TX. For Respondents appeared in-house counsel, Rick A. Buchwalter, Esq., St. Petersburg, FL. DATE FILED: October 21, 2002 CASE SUMMARY: Claimant alleged that respondents invested his retirement funds in unsuitable stocks for someo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06298 George T. Chen, Claimant vs. Robert S. Quinn and W.R. Hambrecht & Co., Respondents. ATTORNEYS: For Claimant appeared Alvin L. Fishman, Esq., of the Law Offices of Resler, Sandmann & Fishmann, San Francisco, CA. Respondents, Robert S. Quinn and W.R. Hambrecht & Co., (collectively "Respondents") appeared pro se., San Francisco, CA. DATE FILED: October 21, 2002 CASE SUMMARY: Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter Romanelli v. Gruntal & Co., Ryan, Beck & Co., LLC., and Robert Lessen Case Number: 02-06295 Hearing Site: New York, NY Nature of the Dispute: Customer vs. Terminated Member, Member and Associated Person. REPRESENTATION OF PARTIES Claimant Peter Romanelli ("Romanelli") referred to as "Claimant": James A. Prestiano, Law Offices of James A. Prestiano, Esq., New York, New York

Award NASD Dispute Resolution In the Matter of the Arbitration Between: >Jamp. nf thp Plajmatit PQQP ISTii^nh^r- 02-06293 Lisa DePrato nf the ReyprMifontf 5 Hearing Sit?' Dallas., Texas Prudential Equity Group, Inc.; and, Robert E.Holland OF TT T>TSFTTTF Customer v. Member Firm and Associated Person OF Claimant Lisa DePrato, hereinafter referred to as "Claimant": Clifton T. Hutchinson, Esq. and Matthew D. Nielsen, Esq. of the fir

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, Inc., Case Number: 02-06292 Claimant, vs. Donald Bosse, Hearing Site: Houston, Texas Respondent, Nature of Case: Member vs. Associated Person Off PAPTTF.S Claimant Wachovia Securities, Inc., hereinafter referred to as "Claimant," was represented by Douglas D. Callaway, Esq. of Wachovia Securities, Inc. located in Richmond, Virginia. Respondent Do

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Raymond A. Shapiro, Claimant vs. Merrill Lynch Pierce Fenner & Smith, Inc., Merrill Lynch Asset Management, LP, Merrill Lynch Focus Twenty Fund, Inc. and Michael Weil, Respondents. Case Number: 02-06288 Hearing Site: Albuquerque, New Mexico NATURE OF DISPUTE Customer vs. Member Firm, Non-Member Firms and Associated Person Claimant, Raymond A. Shapiro ("Shapiro"), referred

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant. Alfons Hogrebe and Case Number: 02-06287 Hearing Site: Troy, Michigan Names oLRespondents AXA Advisors, LLC The Equitable Life Assurance Society of the United States, and Andrew R. Nestor NATURE OF DISPUTE Customer v. Members and Associated Person REPRESENTATION OF PARTIES Alfons Hogrebe ("Claimant") was represented by Anthony V. Trogan, Esq.