Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Eutaw W. Horton and Wilma L. Horton Family Trust, Eutaw Horton and Wilma Horton Co-Trustees Name of the Respondent Morgan Keegan & Company, Inc. (Successor of: Regions Investment Company, Inc.) Case Number: 02-04104 Hearing Site: Little Rock, Arkansas Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Eutaw W. Horton

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Darlene McGaugh Names of the Respondents Bane of America Investments Services, Inc. Raymond Shane Case Number: 02-04103 Hearing Site: New Orleans, Louisiana REPRESENTATION OF PARTIES Darlene McGaugh, referred to as "Claimant", appeared pro se. For Bane of America Investment Services, Inc. ("BAIS") and Raymond Shane ("Shane"), collectively referre

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants John F. Solverson, Individually and as Trustee of the John F. Solverson Living Trust, and Barbara A. Solverson, Individually and as Trustee of the Barbara A. Solverson Living Trust and Case Number: 02-04100 Hearing Site: Detroit, Michigan Names of Respondents Linsco/Private Ledger Corp. and Joseph D. Longo NATURE OF CASE Customers

BINDER COPY Award NASD Dispute Resolution In the Matter of the Arbitration Between: Estate of Ronald Edwin Hanson, Claimant v. Wedbush Morgan Securities, Inc., Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., Roan-Meyers Associates, and Quick and Reilly, Inc., Respondents Case Number: 02-04099 Hearing Site: Las Vegas, Nevada For Claimant: Nature of the Dispute: Customer v. Member Firms REPRESENTATION OF PARTIES Elizabeth B

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Madison J. Batt, Claimant v. S.G. Martin Securities, LLC and Stephen J. Bahil, Respondents Case Number: 02-04097 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimant: Roger D. Meliem, Esq. Foster Pepper & Shefelman PLLC Seattle, Washington For Respondents: Joeseph L. Pittera, Esq. The Law Offices of Joseph L. Pittera Torrance, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Patrick Sroivattana Sundaree Sroivattana Names of the Respondents Cybervest Securities, Inc. William P. Chien Case Number: 02-04095 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Patrick Sroivattana and Sundaree Sroivattana, hereinafter referred to as "Claimants": Richard S. Cohen, Esq., Brody, Cohen & Winig, P.A., West Pal

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-Q4094 Walter and Kimberly Gilfedder, Co-Trustees U/A DTD 8/1/97 Glenn A. Davis, IRA Kathleen M. Fox, IRA Names of the Respondents Hearing Site: Orlando, Florida Prudential Securities, Inc. Darren Higgs Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Walter and Kimberly Gilfedder (r

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Vincent Cugini, Inc., In Care of Rocco Cugini Case Mnmher- 00-02818 Name of the Andrew Garrett, Inc., Joe Loftus and Kevin Mike Dall Hearing Site: Pittsburgh, Pennsylvania RF.PRF.SFNTATTON OF pARTTFS Claimant Vincent Cugini, Inc., In Care Of Rocco Cugini, ("Claimant") was represented by Arnold Y. Steinberg, Esq. of the law firm

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ann Gray and Thomas Gray (Claimants) v. Stuart Leighton Updegrove and First Republic Group, LLC (Respondents) Case Number: 02-4088 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Associated Person and Member REPRESENTATION OF PARTIES Ann Gray ("A.Gary") and Thomas Gray ("T. Gray) hereinafter collectively referred to as "Claimants": Frank J. Libe

AXVARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Wachovia Securities, Inc. V. 02-04087 Denver, Colorado Respondent Robert S. Nevarez REPRESENTATION OF PARTIES Wachovia Securities, Inc. ("Claimant") was represented by William D. Nelson, Esq., of Rothgerber Johnson & Lyons LLP, Denver, Colorado. Robert S. Nevarez ("Respondent") was pro se. Respondent did not appear at the hearing. CASE TNFORMATTQN Th