AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant' LeilahD. Schou and 02-06261 Phoenix, Arizona Name of Respondents . . RBC Dain Rauscher Inc. Larry K. Wetterschneider Richard E, Mundinger Rittenhouse Financial Services, Inc. Navellier & Associates, Inc. Nicholas-Applegate Capital Roxbury Capital Management LLC Nature of the Dispute: Customer vs. 1 Member, Associated Persons and N

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 00-04097 Thomas L. Birt, Jr. Names of the Respondents Hearing Site: Tampa, FL Salomon Smith Barney, Inc. Larry Joseph McKenney Paul Gerard Chiampa REPRESENTATION OF PARTIES For Thomas L. Bin, Jr., hereinafter referred 10 as "Claimant": John R. Kiefner, Jr., Esq., Kiefner & Renaldo, P.A., St. Petersburg, FL. For Salomon Smith Barney, Inc. ("SSB"), Larry

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Theodore Gonedes (Claimant) vs. Salomon Smith Barney Inc. (Respondent) Case Number: 02-06256 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Theodore Gonedes ("Gonedes"), hereinafter referred to as "Claimant": Eric Rosenberg, Esq., Altman & Company, P.C., New York, NY. Respondent, Salomon Smith Barney Inc., ("Salomon") hereinafter referred to as "Respondent"

NASD Dispute Resolution Arbitration No. 02-06255 Award Page 1 of 5 Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, Inc. (Claimant) v. Joshua Scherer (Respondent) Case Number:02-Q6255 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Wachovia Securities, Inc., hereinafter referred to as "Claimant": Douglas D. Callaway, Esq., Wachovia Securities, Inc., Vice President and Ass

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06253 Marilyn J. Peskin, IRA, claimant vs. Evan Farrell, Claire E. Holmes, and Wachovia Securities Inc., respondents. ATTORNEYS: Claimant appeared pro se, Pompano Beach, Fl. For Respondents appeared in-house counsel Andrew R. Park, Esq., Richmond, VA. DATE FILED: October 18, 2002 CASE SUMMARY: Claimant alleged that respondents misrepresented facts regarding her investments and were n

T CASE: 02-06252 Norman H. Jasper, Trustee, "The Jasper Trust" Claimant vs. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: Claimant, Norman H. Jasper, Trustee, "The Jasper Trust" ("Claimant") appeared Pro Se., Tallahassee, FL. Respondent, Merrill Lynch Pierce Fenner & Smith, Inc. ("Respondent") appeared through its in-house counsel, Dimitri Nemirovsky, Esq., New York, NY. DATE FILED: October 18, 2002 CASE SUMMARY: Claimant all

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06251 Martha R. Green, claimant vs. Merrill Lynch, Pierce, Fenner & Smith Inc., Matt Kittell, and Thompson, Siegel & Walmsley, Inc., respondents. ATTORNEYS: Claimant appeared pro se, Memphis, IN. For Respondents appeared in-house counsel from Merrill Lynch, Pierce, Fenner & Smith Inc., Jennifer Woods Burke, Esq., New York, NY. DATE FILED: October 18, 2002 ™ CASE SUMMARY: Claimant all

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fahnestock & Co., Inc. (Claimant) v. Adam Reback (Respondent) and Richard P. Barnett and Adam J. Reback (Claimants) v. Fahnestock & Co., Inc. (Respondent) and Fahnestock & Co., Inc. (Claimant) v. Richard P. Barnett (Respondent) Case Numbers: 02-05807 (consolidated w/02-06041 and 02-06249) Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fahnestock & Co., Inc. (Claimant) v. Chester Li (Respondent) Case Number: 02-06248 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Fahnestock & Co., Inc. ("Fahnestock") hereinafter referred to as Claimant": Evelyn Bukchin, Esq., Fahnestock & Co., Inc., New York, NY. Respondent Chester Li ("Li") hereinafter r

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06247 Carol L. Sherman, Claimant vs. Ronald J. Scheucher and Prentice Securities, Inc., Respondents. ATTORNEYS: Claimant, Carol L. Sherman, ("Claimant"), appeared Pro Se., Milwaukee, WI. For Respondents, Ronald J. Scheucher and Prentice Securities, Inc. (collectively "Respondents"), appeared Robert J. Pluta, Esq., of the firm Quarles & Brady, LLP., Milwaukee, WI. DATE FILED: October 18, 2002