NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03970 Simon Hughes, Claimant vs. E*Trade Securities, Respondent. ATTORNEYS: Claimant appeared Pro Se, Knoxville, TN. Respondent appeared through Henry W. Carter, Palo Alto, CA. DATE FILED: September 9, 2000. CASE SUMMARY: Claimant alleged that Respondent negligently liquidated his account in order to cover debts owed to Respondent. Claim Data Award Data Claim: $24,500.00 Aw

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05135 Jonathan ("Jon") E. Schuetz, claimant vs. Morgan Stanley Dean Witter & Co, (aka Morgan Stanley) and Jim Williams, respondents. ATTORNEYS: For Claimant appeared Donald M. Feferman, Esq., Corpus Christi, TX. For Respondents appeared in-house counsel, Richard Smith, Esq., New York, NY. DATE FILED: August 30, 2002 CASE SUMMARY: Claimant alleged that respondents recommended and purchase

Award - NASD Dispute Resolution In the Matter of the Arbitration Between: Name fTaimant Barbara J. Samaj Name nf the Respondent Edward D/Jones & Co., L.P. i- 02-05133 Hearing Site: Raleigh, North Carolina RF.PRF.SFNTATTON OF PARTIES Claimant Barbara J. Samaj, hereinafter referred to as "Claimant", was represented by H. C. Kirkhart, Esq., Law Offices of H. C. Kirkhart, Cary, North Carolina. Respondent Edward D. Jones & Co., L.P., here

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark Lords, Claimant v. McDonald Investments Inc. and Jonathan Levine, Respondents Case Number: 02-05131 Hearing Site: Portland, Oregon Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Alan N. Ariav, Esq. DeConcini McDonald Yetwin & Lacy, P.C. Tucson, Arizona For Respondents: Justin C. Sawyer, Esq. Miller Nash LLP

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jon T. Rossiter, Claimant v. Morgan Stanley DW Inc., Prudential Securities Incorporated and John J. Lawrence, Respondents Case Number: 02-05129 Hearing Site: Los Angeles, California Nature of Dispute: Customer v. Member Firms and Associated Person REPRESENTATION OF PARTIES For Claimant: Irving M. Einhorn, Esq. Law Offices of Irving M. Einhorn Santa Monica, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Deborah Garvin, Claimant v. Morgan Stanley DW Inc., Respondent Case Number: 02-05127 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: William F. Davis, Esq. Law Offices of William F. Davis Los Angeles, California For Respondent: Kevin Fitzgerald, Esq. William M. Turner, Esq. Jones Bell Abbott Flem

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05126 Morgan Keegan & Company, Inc. Names of the Respondents Hearing Site: Atlanta, Georgia Glenn Herrin Jana Herrin Names of the Third Party Respondents Regions Bank Regions Investment Management Holding Company, Inc. Regions Financial Corporation Leonard Clifton Skelton, Jr. Nature of the Dispute: Member vs. Custo

Award NASO Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Janney Montgomery Scott LLC Name of the Respondent Marlene Hart Nature of the Dispute: Member vs. Associated Person Case Number: 02-05124 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For Janney Montgomery Scott LLC, referred to as "Claimant": Michael S. Taaffe, Esq., Jennifer B. Compton, Esq. and Lisa C. Conley, Esq., Abel, Band, Russ

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05123 Ruby G. Samples, a widow Names of the Respondents Hearing Site: Atlanta, Georgia Washington Square Securities, Inc. Bruce J. Hearn Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ruby G. Samples, hereinafter referred to as "Claimant": Hank D. Fellows, Jr., Esq., Fellows,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant/Counter Respondent Case Number: 02-05118 John G. Enright Name of the Respondent/Counter Claimant Hearing Site: Chicago, Illinois Wachovia Securities Type of Controversy: Associated Person v. Member Firm REPRESENTATION OF PARTIES Claimant/Counter Respondent John G. Enright ("Enright") was represented by Thomas M. Knepper, Esq. of the firm Knepper & Gladne