Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alfred C. Strohlein and Catherine A. Strohlein, Trustees for the Strohlein Family Trust u/a dated 9/7/91, Claimants v. A.G. Edwards & Sons, Inc., Louis L. Rothey, Sr., and Louis L. "Luke" Rothey, Jr., Respondents Case Number: 02-05842 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Art

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Gregory L. Newman and Case Number: 02-05839 Hearing Location: Houston, Texas Names of Respondents RBC Dain Rauscher, Inc., Michael J. Bakalars, and Scott Caverly NATTTRF OF nTSPTTTF Gregory L. Newman ("Claimant") was represented by Ben A. Wallis, Jr., Esq., The Law Offices of Ben A. Wallis, P.C., San Antonio, Texas. RBC Dain Rausch

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: James Berse and Jane Berse and Case Number: 02-05 833 Hearing Site: Milwaukee, Wisconsin Name of the Respondents: John Riley, Louis Henneck, The Riley-Henneck Group and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Nature of the Dispute: Customers v. Member Firm and Associated Persons. REPRESENTATION OF PARTIES Jame

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05832 Prudential Securities, Inc., claimant vs. Mark W. Gilmer, respondent. ATTORNEYS: For Claimant appeared Steven P, Gomberg, Esq., of the firm Rooks Pitts, Chicago, IL. Respondent appeared pro se, Ann Arbor, MI. DATE FILED: October 1, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed pursuant to the terms of a training agreement. Claim Data Award Data

NASD Dispute Resolution Arbitration No. 00-04055 Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tango Fashions Trading, Ltd.,(Claimant) v. Cambridge Capital, LLC., Cambridge Partners, LLC, Thomas Rossi, Salvatore Clark, Frank DiCarlo, Jon Lee, and James David Clifford, ( Respondents) Case Number: 00-04055 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Tango Fashions Trading, Ltd

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Zinsmeyer Trusts Partnership, Andrew R. Zinsmeyer, Managing Partner Name of the Respondent A.G. Edwards & Sons, Inc. Case Number: 02-05831 Hearing Site: St. Louis, Missouri NATURE OF DISPUTE Customer vs. Member Firm REPRESENTATION OF PARTIES Richard P. Sher, Esq. of Devereux Murphy, LLC located in St. Louis, Missouri represented Zinsmeyer

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants John Asdigian and JoAnne Asdigian and 02-05825 Milwaukee, Wisconsin Name of Respondents SSI Investments, Inc., and Mick James McDermott Nature of dispute: customer v. member and associated person. REPRESENTATION OF PARTIES John Asdigian and JoAnne Asdigian ("Claimants") were represented by Dennis J. Flynn, Esq., of Schoone, Leuck, Kelley, Pitts & Kn

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Terry G. Thompson, (Claimant) v. Salomon Smith Barney Inc., Jack B. Grubman, and Ronald A. Hollinger, (Respondents) Case Number: 02-* 05824 Hearing Site: Indianapolis, Indiana NATURE OF DISPUTE Customer vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES Claimant Terry G. Thompson: Represented by Hayward Richard Pressman, Pressman & Trien, New Y

STIPUATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Charles Schwab & Co. and Name of Respondent Greg G. Cutler Case Number: 02-05823 Hearing Site: Detroit Michigan REPRESENTATION OF PARTIES Charles Schwab & Co. ("Claimant") was represented by Brandon K. Hemley, Esq., Charles Schwab ; & Co:, Inc., San'Franciscb; California. Greg G. Cutler ("Respondent") appeared in pro per. ...:"."

Award NASD Dispute Resolution In the Matter of the Arbitration Between: p nf thp r)ai'm^r|f r^g "[y^her- 02-05816 Founders Equity Securities ^ the Rfpp^ndgnts H ftar "ig ftiftv Dallas, Texas Gary & Rosario Higgins; and, Higgins/Garza Cantu Ltd. Partnership NATTTRF OF Member Firm v. Public Customer Claimant Founders Equity Securities, hereinafter referred to as "Claimant": Thomas J. Spackman of Founders Equity Securities, Dallas, Texa