DISPUTE RESuLUTIOi^ A ,-rARD NASD DISPUTE RESOLUTION CASE: 02-04772 Ellen W. Thomas, claimant vs. Paul R. Walker, Steven Berglund and U.S. Bancorp Piper Jaffray, respondents. ATTORNEYS: Claimant appeared pro se, Aurora, CO. For Respondents appeared in-house counsel, Jennifer R. Relien, Esq., Minneapolis, MN. DATE FILED: August 13, 2002 CASE SUMMARY: Claimant alleged that respondents executed unauthorized transactions on the account. Clai

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-04768 Rhodes Family Trust Rachel Rhodes IRA Names of the Respondents Hearing Site: Orlando, Florida UBS PaineWebber, Inc. Merrill Lynch, Pierce, Fenner & Smith, Inc. Russel Thomas Dingman William H. Shepard, HI Gregory G. Ergle Nature of the Dispute: Customers vs. Members and Associated Persons. REPRESENTATION OF

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Hugh A. Cameron and Karen A. Cameron V. 02-04766 Minneapolis, Minnesota Respondents U.S. Bancorp Investments, Inc. and Meredith S. Edstam REPRESENTATION OF PARTIES Hugh A. Cameron and Karen A. Cameron ("Claimants") appeared pro se. U.S. Bancorp Investments, Inc. ("U.S. Bancorp") and Meredith S. Edstam ("Edstam") were represented by David P, Pearson, Esq.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Carol A. Rupkey, Individually and Carol Rupkey, Cheryl Armstrong, Suzanne Rupkey and Christine Rupkey as Co-Trustees of the James A. Rupkey Trust u/a/d 4/6/98 and Names of Respondents H&R Block Financial Advisors, Inc. and Victor Peretiatko Case Number: 02-04765 Hearing Site: Souttifield, Michigan NATURE OF CASE Customers v. Member F

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: George and Linda Dooley, Claimants v. Linsco/Private Ledger Corp., and Treena L. Tipton, Respondents Case Number: 02-04763 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Christopher Howard, Esq. Holland & Knight LLP Seattle, Washington For Respondents: David J. Frenier

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Loy R. demons, Vita R. demons, demons Family Revocable Trust, Clemons-Eicken Fine European Imports, Inc., and Vita demons, LTD. and 02-04752 Phoenix, Arizona Name of Respondents Berry-Shino Securities, Inc. Christopher J. Mercer Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Loy R. demons, Vit

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-04743 Daniel Baitcher Total Women's Rehab, Inc. Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley Dean Witter, Inc. Kenneth F. Haelsig, Jr. Sandra D. Sapp Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Daniel Baitcher ("Baitcher") and Total Women's Rehab, Inc.,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gold Family Trust, Claimant v. Miller & Schroeder Fihancial Case Number: 00-03908 H ial, Inc., Respondent aring Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondent: CASE INFORMATION Statement of Claim filed: October 31, 2000 Claimant's Uniform Submission Agreement signed: Statement of Answer filed by Respondent Miller &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gary W. Haynie, Claimant v. Scottrade, Inc., Thomas K. Henningsen and James K. No, Respondents Case Number; 02-04737 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: For Respondents: Gary W. Haynie Campbell, California Sherri C. Strand Kimber L. Monroe Thompson Coburn LLP St. Louis, Missouri CASE INFORMATION Statemen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: "Mame of thft riaimant f!ase Nnmher 02-0473 1 Joe and Judy Gergely, JTWROS Joe Gergely, IRA Judy Gergely, IRA Name of the Respondents Hearing Site: Raleigh, NC Merrill Lynch, Pierce, Fenner & Smith, Inc. J. David Jones Nature of the Dispute: Customer v. Member and Associated Person. RKPRF.SFNTATION OF PARTTFS Claimants, Joe and Judy Gergely, JTWROS, Joe Gergely, IRA