Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number Dean Witter Reynolds, Inc. 00-03930 Name of the Respondents Hearing Site Jonathan M. Leifer Los Angeles, California REPRESENTATION OF PARTIES \ For Claimant: Rene J. Kern, Jr. Kern & Gonzalez Los Angeles, California For Respondent, Jonathan M. Leifer H. Thomas Fehn Fields, Fehn & Sherwin Los Angeles, California CASE INFORM

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ) ) Name of the Claimants ) Case Number: 02-04886 Diana Lerman and Martin L. Hipschman, ) as Co-Trustees for the ) Sam Hipschman Trust and Clara Hipschman Trust ) Name of the Respondent^ ) Hearing Site- St. Louis, Missouri Stifel, Nicolaus & Co., Inc., ) Bernard H. Feinstein and David M. Hoqan ) NATURF OF PiflPUTF Customers vs. Member Firm and Associated Persons

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Lance Wise and Nancy Wise and 02-04883 Chicago, Illinois Name of Respondents Wachovia Securities, Inc. Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Lance Wise and Nancy Wise ("Claimants") were represented by Kenneth Ditkowky, Esq., of Law Offices of Ditkowsky & Contorer, located in Chicago, Illinois. Wachovia Securities,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles and Chad Hartman (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Jeffrey C. Gonyo (Respondents) Case Number: 02-04875 Hearing Site: Albany, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Charles and Chad Hartman ("the Hartmans") hereinafter collectively referred to as "Claimants": Timothy J. D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf Thp Claimant Pagp Nnmhprr 02-04872 Robert Krejci n ^ th p T?**gprmHpnfg Hearing Site: Milwaukee, Wisconsin LH Ross & Company, Inc., and Michael J. Assenza T1F.EPF.SF.MT A TTON OF Claimant Robert Krejci hereinafter referred to as "Claimant": Catherine R. Grogan, Esq. of Meissner, Teirmey, Fisher & Nichols S.C. located in Milwaukee, Wisconsin. Respondents LH

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Joseph Sirico Maria Sirico Name nf the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Marc D. Karstaedt Number- 02-04868 Site- Charlotte, North Carolina REPRESENTATION OF PARTIES Claimants, Joseph Sirico and Maria Sirico, hereinafter collectively referred to as "Claimants", were represented by James D. Calmes

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael O. Sanderson (Claimant) v. Omar Amanat, Tradescape Securities, and Tradescape Corp. (Respondents) Case Number: 02-04866 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Michael O. Sanderson hereinafter referred to as "Claimant": C. Evan Stewart, Esq., Brown Raysman Millstein Fel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dennis M. Matin (Claimant) vs. Prudential Securities Inc. (Respondent) Case Number:Q2-Q4863 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant, Dennis M. Marin hereinafter referred to as "Claimant": Steven R. Malynn, Esq., Kohrman Jackson & Krantz PLL, Cleveland, Ohio and Steven L. Wassennan., Esq., Chernett Wasserman Yarger Pasternak LLC, Cleveland, Ohio. Responde

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04858 Robert D. Walter & Karrie L. Walter JT TEN, claimants vs. Charles Schwab & Company, respondent. ATTORNEYS: Claimants appeared pro se, through Robert D. Walter, Redding, CA. For Respondent appeared in-house counsel, Steve Murphy, Esq., San Francisco, CA. DATE FILED: August 19, 2002 CASE SUMMARY: Claimants alleged that respondent executed transactions on their account without cla

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Yvonne A. Schwartz, Claimant v. Judith A. McGee, McGee Financial Group, Inc., McGee Financial Strategies, Inc., and Raymond James Financial Services, Inc., Respondents Case Number: 02-04855 Hearing Site: Portland, Oregon Nature of Dispute: Customer v. Associated Person, Non-Member and Member Firm REPRESENTATION OF PARTIES For Claimant: Ronald H. Hoevet, Esq. Per C. Ol