Jul 09 04 09:29a Benson Choy 2132292395 p.2 Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gertrude E. Green, The Trudi & John Green Trust dtd 6/5/9, Claimants v. Rural Securities, Inc., Barron Chase Securities, Inc., FAS Wealth Management Services, Inc., Investors Street, Inc., and Moises Ramos* Jr., Respondents Case Number: 02-05241 Hearing Site: Los Angeles, California Nature of the Dispute: Customers

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-05239 John Barrel! Manuel Vicky Manuel Names of the Respondents Hearing Site: New Orleans, LA Prudential Securities, Inc. " , Michael Boagni Andy Schmitz William E. Blakeman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John Darrell Manuel and Vicky Manuel, hereina

" NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05238 Charles Schwab & Co., Inc., Claimant v. Jeffrey Michael Leavitt, Respondent. ATTORNEYS: Claimant, Charles Schwab & Co., Inc., ("Claimant"), appeared through its Vice President & Senior Corporate Counsel Richard A. Karoly, Esq., San Francisco, CA. Respondent, Jeffrey Michael Leavitt, ("Respondent"), did not submit an answer in this case. NATURE OF DISPUTE: Member v. Customer DATE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shujaat Husain and Zaheerun Nisa Husain, Claimants v. Fidelity Brokerage Services, Respondent Case Number: 02-05234 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants; In Propria Persona For Respondent: Susan L. Hoffinan, Esq. Bingham McCutchen Los Angeles, California CASE INFORMATION Statement of Claim filed: September 4 S 2002 Ame

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05226 Dwight C. Schaubach Name of the Respondent Hearing Site: Atlanta, Georgia Bear Stearns & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Dwight C. Schaubach, hereinafter referred to as "Claimant": Steven J. Gard, Esq., Gard Smiley Bishop & Dovin LLP, Atlanta, Georgia. For Bear Stearns & Co., I

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas McGovem and Thomas McGovern IRA (Claimants) v. Salomon Smith Barney, Inc., Michael Kennedy, Michael Narchassalla and Gabriel Torrens (Respondents) Case Number: 02-05216 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Thomas McGovern ("McGovem") and Thomas McGovern ERA ("McGovem

CASE: 02-05215 InvestPrivate Inc., Claimant vs. Sean Byrnes, Respondent. ATTORNEYS: For Claimant, InvestPrivate Inc., ("Claimant") appeared Michael S. Colombo of StreetWide Asset Recovery Group, Inc., New York, NY. Respondent, Sean Byrnes, ("Respondent") did not respond to the Statement of Claim. DATE FILED: September 4, 2002 CASE SUMMARY: Claimant alleged that Respondent has failed to repay monies owed pursuant to the terms of an Employment Agreement.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sandra J. Rosen, individually and as Trustee of the Sandra J. Rosen Revocable Living Trust U/A dated December 6, 2001, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Donald C. Gannan, Respondents Case Number: 02-05204 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Patrick Baldwin, Esq. Christine McNamara, Esq. Menlo Park, Califor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vinod K. Patwa and Sneh Patwa (Claimants) v. Friedman, Billings, Ramsey & Co., Emanuel J. Friedman, and Laksimi N. Sampath (Respondents) Case Number: 00-03979 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Vinod K. Patwa ("V. Patwa") and Sneh Patwa ("S. Patwa") hereinafter collectively referre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05202 Continental Broker-Dealer Corp. Name of the Respondent Hearing Site: Boca Raton, Florida Stephen D. Berg REPRESENTATION OF PARTIES For Continental Broker-Dealer Corp., hereinafter referred to as "Claimant": Timothy Feil, Esq., Finkelstein & Feil, LLP, Garden City, New York. Stephen D. Berg, hereinafter referred to as "Respondent", a