Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Estate of Edward Meyer Names of the Respondents Bear Stearns Securities Corp. Cohmad Securities Corporation Case Number: 02-05059 (consolidated with 02-06185) Hearing Site: Boca Raton, Florida In the Matter of the Arbitration Between: Name of the Claimant Marcia Meyer Names of the Respondents Bear Stearns Securities Corp. Cohmad S

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant The Holohan Family Trust and 02-05054 Phoenix, Arizona Name of Respondents Buckman, Buckman & Reid, Inc. Mark Elliott Robert R. Yasnis Harry J. Buckman, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES The Holohan Family Trust ("Claimant") was represented by Paul S. Gerding, Sr., Esq. and Richard

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William Swilley and Case Number: 02-05052 Hearing Site: Houston, Texas Name of Respondent Morgan Stanley DW, Inc. NATURE OF DISPUTE Customer v. Member Firm William Swilley ("Claimant") was represented by Dennis H. Taylor, Esq., of Shepard, Smith & Bebel, P.C., in Houston, Texas. Morgan Stanley DW, Inc. ("Respondent") was represented by Michael J.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John W. Jump, Claimant v. Sharpe Capital, Inc. and Brian R. Brush, Respondents Case Number: 00-03951 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: John W. Jump In Propria Persona Ventura, California For Respondent Sharpe Capital, Inc.: Yuet Wong, Esq. Sharpe Capital, Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 02-05051 Helen R. Peltason, Harold C. Scharff, Joyce A. Scharff and Gregory S. Matthews, Trustees of the Scharff Family Living Trust dtd 3/4/93 Name of the Respondents Hearing Site: St. Louis, Missouri Edward D. Jones & Co. and Gary V. Schwendinger NATURE OF DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PA

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Kenneth Schweiger v. 02-05049 Minneapolis, Minnesota Respondents U.S. Bancorp Piper Jaffray, Inc. and Ted A. Johnson Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Kenneth Schweiger ("Claimant") was represented by Steven R. Rutzick, of Steven R. Rutzick & Associates, St. Paul, Minnesota. U.S. Bancorp Piper

CASE: 02-05047 Buckman, Buckman and Reid, Inc, Claimant vs. Shawn Arlauckas, Respondent. ATTORNEYS: For Claimant, Buckman, Buckman & Reid, Inc. ("Claimant") appeared Mark J. Astarita, Esq. of the firm Bean & Astarita, Bloomfield, NJ Respondent, Shawn Arluckas, ("Respondent") did not submit an answer to the Statement of Claim. DATE FILED: August 27, 2002 CASE SUMMARY: Claimant alleged that Respondent breached their contractual agreement and failed to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Julie M. Radosevich, Claimant v. Bane of America Investment Services, Inc. and Frank P.P. Au- Yeung, Respondents Case Number: 02-05041 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy D. Murphy, Esq. Law Offices of James Jay Seltzer Emeryville, California For Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David F. Crandafl and Lucy O. Crandall, Trustees U/A for Crandall Family Trust, Claimants v. Edward D. Jones & Co. and James D. Belenis, Respondents Case Number: 02-05038 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: MitcheD S. Ostwald, Esq. Law Offices of Mitchell S. Ostwald San Francisco, California For Respondents: David M. Harris, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barry A. Morguelan, M.D., Individually and as Trustee of the Dr. Barry Morguelan MPP/PS Plan, Claimants v. Prudential Equity Group, LLC tfk/a Prudential Securities Incorporated, Deepen A. Modi, and Kendall D. Higginbotham, Respondents Case Number: 02-05036 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATIO