AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Stevenson Survivors Trust, Grace Stevenson, Trustee and 02-03479 Phoenix, Arizona Name of Respondents A.G. Edward & Sons, Inc. Paula G. Beardsworth Jerome G. Hersh REPRESENTATION OF PARTIES Stevenson Survivors Trust, Grace Stevenson, Trustee ("Claimant") was represented by Joel P. Borowiec, Esq., Borowiec & Borowiec, P.C., Sierra Vista, Arizona.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-03477 Wachovia Securities, Inc., claimant vs. James Goolsby, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Douglas D. Callaway, Esq., Richmond, VA. For Respondent appeared E. Linwood Gunn, IV, Esq., of the firm Brock, Clay, Calhoun, Wilson & Rogers, P.C., Marietta, Georgia DATE FILED: June 13, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owe

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-03474 George Pyne Helene Pyne Names of the Respondents Hearing Site: Orlando, Florida Register & Akers, Inc. Michael A. Morris Richard L. Schubert C.Scott Akers, Jr. George Register Steve Dunbar Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For George Pyne and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Butterfly Group Limited (Claimant) v. Goldman, Sachs and Company (Respondent) Case Number: 02-03473 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Butterfly Group Limited ("Butterfly") hereinafter referred to as "Claimant": Charles S. Gumming, Esq., Fowler Rodriguez & Chalos, Port Washington, NY. Respondent Goldman

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-03471 Brian Jackson and Sandra Garigali, claimants vs. Datek Online, respondent. ATTORNEYS: Claimants appeared pro se through Brian Jackson, New Windsor, NY. For Respondent appeared G. Thomas Fleming, Esq., of the firm Jones, Bell, Abbott, Fleming & Fitzgerald, L.L.P., Los Angeles, CA. DATE FILED: June 13, 2002 CASE SUMMARY: Claimants alleged that respondent published an incorrect story

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Robert Francis and .Rosemary F. Miller \ i ' v. ' ' 02-03470 i ' t ' Minneapolis, Minnesota Respondents Gaines Berland Inc., n/k/a,Ladenberg Capital Management, Inc., Mark D. Zeitchick, Vincent A. Mangone, Michael A. Chakos, Joseph M. Angelone, Jr., Joseph Berland, and Ladenburg Thalmann and Co., Inc. . ' ' ,' \ '• ' - Nature of Dispute

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-03467 Frank A. Datino Names of the Respondents Hearing Site: Tampa, Florida Brookstreet Securities Corporation Hugh O. Barndollar, individually, and as agent of Hugh Barndollar Insurance Services, Inc. and Brookstreet Securities Corporation REPRESENTATION OF PARTIES For Frank A. Datino, hereinafter referred to as "Claimant": J. Benton Ste

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Loreto Cambi and Constance Cambi, (Claimants) vs. Institutional Equity Corporation f/k/a Redstone Securities, Michael Pata, and Steven Dubinsky, (Respondents) Case Number: 00-02766 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Loreto Cambi ("L. Cambi") and Constance Cambi ("C. Cambi"), hereinafter collectively referred to as "Claimants", appeared pro se

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dawn Macvicar (Claimant) vs. Harlan J. Fischer and Branch Financial Services Inc. n/k/a Vera Vest Investments Inc. (Respondents) Case Number: 02-03466 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Dawn Macvicar, hereinafter referred to as "Claimant": Irving Mandel, Esq., Floral Park, NY. Respondents, Harlan J. Fischer, Allmerica Investment, Inc. and Branch

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-03462 H&R Block Financial Advisors, Inc., claimant vs. Michael J. Baccus, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Kurt M. Miller, Esq., Detroit, MI. Respondent did not respond to the Statement of Claim. DATE FILED: June 13, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay an outstanding debit balance in his account. Claim Data Claim: $4,6