Award NASD In the Matter of the Arbitration Between: Name of the Claimant Lusen Corporation Name of the Respondent Prudential Seciuities, Incorporated Name of the Third Party Respondent Samir Lababedi Case Number: 01-04300 Hearing Site: Boca Raton, Florida In the Matter of Arbitration Between: Name of the Claimant PhiUdor Investments, Ltd. Names of the Respondents Prudential Securities, Incorporated Talal Ojjeh Name of

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Lusen Corporation Name of the Respondent Prudential Securities, Incorporated Name of the Third Party Respondent Samir Lababedi Case Number: 01-04300 Hearing Site: Boca Raton, Florida In the Matter of Arbitration Between: Name of the Claimant Philidor Investments, Ltd. Names of the Respondents Prudential Securities, Incorporated Talal Ojjeh Name of

Award NASD Dispute Resolution. In the Matter of the Arbifration Between: Name of the Claimants ' Case Number: 01-03956 • Jack and Gloria M. Ehrler, Trustees to the John W. and Gloria M. Ehrler Tmst dtd. 10/12/89 Name of the Respondent Hearing Site: St. Louis, Missoiui Morgan Keegan & Company, Inc. •.''>, Name of the Claimants John W. Ehrler, n and Laura M. Ehrler -Consolidated widi Case No. 02-05158- Name of Respondent | Hearing Site: St. Louis

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dale H. Fnlkerson and Mary Morrison, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Diane M. Carter, David P. Dixon, and Barton R, Stuart, Respondents Case Number: 03-00790 Hearing Site: Portland, Oregon Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Dale H. Fulkerson In Pro Per Portland, Oregon For Resp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mohammed Azab and Manal Azab (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Merrill Lynch & Co., and Henry Blodget (Respondents) Case Number: 02-03804 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member, Non-Member, and Associated Person. REPRESENTATION OF PARTIES Claimants Mohammed Azab ("Mohammad Azab") and Manal Azab ("Manal Azab") hereinaf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norma Alguadich Burhts and Albert Alguadich, (Claimants) vs. Morgan Stanley Dean Witter Inc. and Matthew E. Miller, (Respondents) and Albert Alguadich, (Claimant) vs. Morgan Stanley Dean Witter Inc., (Respondent) Case Number: 01-05143(consolidated w/02-03908) Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Norma Alguadich Burhts ("Burhts") and Albert Alguadic

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-05929 Steven B. Short, claimant vs. Lombard Brokerage AKA Discover Brokerage Direct, respondents. ATTORNEYS: Claimant appeared Pro Se. - Corona Del Mar, CA. For Respondent appeared Judith M. Rosenberg, Esq. - San Francisco, CA. DATE FILED: 12/22/97 CASE SUMMARY: Claimant alleged unauthorized trading of common stock and failure to close a short position.

Award NASD Rj^;uIation, bic. In die Matters of the Ari}itration Between: Hearing Site: Philadelphia, PA Dominic Falcone, Claunant rase Niimher; 98~03596 vs. Pennsylvania Merdiant Groiq>, Ltd. and Richard Johnson, Respondents AND John Biduff, Clahnaot Case Number: 98-03599 vs. Pennsylvania Merchant Group, Ltd. and Richard Johnson, Respondents REPRESENTATION OF PARTIES Claimants Dominic Falcone and John 0duff ("Qaimants"): Edward Seglias, Esq.,

AWARB NASD R^gtiIatloii» Inc. In tiie Matter of tiie Arbitration Bdtweea f^ame riaiiwint Macy Aaa DdSinger NASD CASE NO. 98-0185S NameofResDondent Noitb^ Securities, Inc. CONSOLIDATED WITH lit (be Matter of the Arbitration Between Betty Jo FauUmer NASD CASE NO. 98-01971 Name of I Nonlieast Snnuities, Inc. REPRESENTATION For Claimants Mary Ann Bellinger ("Dellinger") and Betty Jo Faulknor ("FauUmer"): Jk>lin E. North, Esq. a

07/17/02 «PD 09:43 FAX KAS0 PscmjaioK 81002 Award , NAjSD Dispute Resbhjtion, Inc. b» tiie MattM of the Aibi tuition Between Natimjifnaimanfs John F. Baumer, Adteline R. Bossrat; Gerald R. Bossert; Richard L. Bossm; Susan C. Bosseit; Deltafonss, Ltd., Enijayco PBO; Donna Mas F- Falk; Betty J. Lipp; Juditii O. O'Connell; Jean R, Pahnisano; Janet A. Rtachart; Thomas J. Weber, Jeff Acerbi; Jennifcr L. Pulizos; Carol S. Beck; Maik P. Kuehn; an