Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rosemarie D. Schenck (Claimant) v. Kirlin Securities, Inc., First Union Securities, Inc. (n/k/a Wachovia Securities, Inc.), Gruntal & Co., L.L.C. and Stephen J. Cohen (Respondents) Case Number: 02-06105 Hearing Site: New York, New York Nature of the Dispute: Customer v. Members, Terminated Member, and Associated Person REPRESENTATION OF PARTIES Claimant, Rosemarie D. Schenck

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward J. Hunt, individually, and as Trustee of the Hunt Family Trust u/a/d December 2, 1993, Susan Hunt, individually and as Trustee of the Hunt Family Trust u/a/d December 2, 1993, Jerry R. Blackburn, Carol Blackburn, and Brian R. Bahnsen, individually, and as Custodian for Cameran M. Bahnsen, Claimants v. A.G. Edwards & Sons, Inc., Raymond F. Vadeboncoeur, and Robert R. Heinze, Respo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kelsey R. Tyson, The Spectre Group, The Spectre Group MPP Plan, and The Spectre Group PS Plan, Claimants v. Glen A. Ishoy, Barrel L. Trost, and Prudential Securities, Inc., Respondents Case Number: 02-06100 Hearing Site: Salt Lake City, Utah Nature of Dispute: Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES For Claimants: Randall R. Heiner, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Theresa M. Major TTEE, U/A DTD 11/16/92, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Ronald A. Lavo, Respondents Case Number: 02-06099 Hearing Site: Los Angeles, California Nature of Dispute: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES For Claimant: William S. Bonnheim, Esq. Law Offices of William S. Bonnheim, PLC Pa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name ofthp ("lai'mant John J. Woytowitz Pare Number 02-06095 nf the Site; Baltimore, Maryland Merrill Lynch, Pierce, Fenner & Smith, Inc. David P. Marshall Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, John J. Woytowitz,"Claimant", was represented by John H. West, III, Esq. and James H. V/est, Esq., West

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06092 Malvin Gordon Johnson, Jr. and Dana Johnson, claimants vs. Trautman Wasserman & Company, Inc., respondent. ATTORNEYS: Claimants appeared pro se, Cedar Hill, TX. For Respondent appeared Faun M. Phillipson, Esq., of the firm Winget, Spadafora & Swartzberg, LLP, New York, NY. DATE FILED: October 11, 2002 CASE SUMMARY: Claimants alleged that respondent purchased and sold stock with

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Praveen Jha (Claimant) v. ABN AMRO, Inc. (Respondent) Case Number: 02-06090 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Praveen Jha ("Jha") hereinafter referred to as "Claimant": Robert B. Stulberg, Esq., Broach & Stulberg, LLP, New York, NY. Respondent ABN AMRO, Inc. ("ABN") hereinafter referred to as "

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Deane H. Stokes, Sr. Metropolitan Realty Associates, Incorporated Case No. 00-04077 Names of Respondents Marion Bass Securities Corp Chadwick Edward Cochran Mark Fitzgerald Bass Gerald Paul Chandik Robert Harold Reber, Jr. Robert James Brietz, Sr. Marion Frederick Bass, Jr. Thomas Michael Costello Randolph McCraven Nash Ben

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Kalander International Co., Ltd. Names of the Respondents EFG Capital International Corp, Ana Maria de Bracamonte Case Number: 02-06089 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Kalander International Co., Ltd., hereinafter referred to as "Claimant": Christopher

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-06088 Lance Foody and Constance Foody JTTEN Names of the Respondents Hearing Site: Memphis, TN Morgan Stanley DW, Inc. Mark Larue Alexander Frank Jay Kemper Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lance Foody and Constance Foody JTTEN, hereinafter collectively referr