Award NASD Dispute Resolution In the Matter of the Arbitration Between: / Salim Shiry (Claimant) v. UBS PaineWebber, Inc., Irwin Werbowsky, and Joseph Pizzo (Respondents) Case Number: 02-04968 Hearing Site: City, State Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Salim Shiry ("Shiry") hereinafter referred to as "Claimant": Philip Raible, Esq., Mintz & Gold, LLP, New York, NY. Respondents, U

Award NASD Dispute Resolution ft fl D V "Ir I In the Matter of the Arbitration Between: Naomi Bosley, TTEE The Bosley Family Trust, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Jeffrey N. Tadder, Respondents Case Number: 02-04965 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: L. Michael Wilson, Esq. Law Office of Michael Wilson San Diego, California i For Respondents: Robert M. Traylor, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: KTame. nf the Claimants Jack and Sharon Lebeau Name of the Respondents Fahnestock & Co., Inc. Estate of Jeffrey S. Vizak Case Number- 02-04964 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Jack and Sharon Lebeau., hereinafter collectively referred to as "Claimants", were

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Colleen Fields Name of the Respondent Wachovia Securities, LLC Case Number: 02-04961 Hearing Site- Charlotte, North Carolina Nature of the Dispute: Customer vs. Member. RFPRRSFNTATTON OF PARTTF.S Claimant Colleen Fields, hereinafter referred to as "Claimant", was represented by M. Thomas Norwood, m, Esq., The Lake Law Office, Mooresville, North C

* ' Stipulated Award •* NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-04959 Morgan Keegan & Company, Inc. Name of the Respondent Hearing Site: Charlotte., NC John Casper Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Morgan Keegan & Company, Inc. was represented by Shea O'Brien Hicks, Esq., Vice President Associate Attorney, Morgan Keegan & Company,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Unibanco Securities, Inc., and Unibanco Securities Limited (Claimants) v. FTC Securities, Inc., (Respondent) Case Number: 02-04958 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Unibanco Securities, Inc. (Unibanco Inc.), and Unibanco Securities Limited (Unibanco Limited) hereinafter referred to as "Claimants": William Bethlem, Director, Unibanco Securities

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Erica Beth Hansen Names of the Respondents Daylight Online Brokerage, LLC Daylight Holdings, Inc. John Anthony Sivo Case Number: 02-04950 Hearing Site: Boca Raton, Florida Nature of the Dispute: Associated Person vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES For Erica Beth Hansen, hereinafter referred to a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Patricia M. Dickinson, individually, and as Executrix of the Estate of James O. Dickinson, Jr. Names of the Respondents Ron Josey, McAllaster & Associates, Richard E. McAllaster and Sterne, Agee & Leach, Inc. Case Number: 02-04945 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATI

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Hossein Danesh, Claimant v. E*Trade Securities, Inc., Respondent Case Number: 00-03936 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES For Claimant: Richard Sacks Investor Recovery Service 2 Commercial Blvd. Suite 203C Novato, CA 94949 For Respondent: John M. McCoy, Esq. Bird, Mareila, Boxer & Wolpert 1875 Century Park East 23 rd F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lillian Hecker and Lillian Becker as The Executor of the Estate of Sidney Hecker (Claimants) v. David Lerner Associates, Inc., Douglas Albert, and Anthony Meere (Respondents) Case Number: 02-04941 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Lillian Hecker ("Hecker") and Lillian Hecker as