r Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Carlton Grove and David Carlton Grove, TJ, Claimants v. Sutro & Co., Incorporated n/k/a RBC Dain Rauscher, Inc., Respondent Case Number: 02-03032 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES For Claimants: Terry W. Baker, Esq. Tonkon Torp Portland, Oregon For Respondent: Gilbert R. Scrota, Esq. Howard Rice Nemerovski Canady Falk & Rabkin S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 02-03030 Pamela A. Duke, IRA Name of the Respondent: Hearing Site: New York, UBS PaineWebber, Inc. New York REPRESENTATION OF PARTIES Claimant, Pamela A. Duke, IRA hereinafter referred to as "Claimant": pro se Respondent, UBS PaineWebber, Inc. hereinafter referred to as "Respondent": Kenneth G. Crowley, Esq., UBS PaineWebber, Inc., New York

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Prakash Bhargava 02-03023 Name nf the Respondent E* Trade Securities, LLC Hearing Site- Washington, D.C. REPRESENTATION OF PARTIES Claimant, Prakash Bhargava, hereinafter referred to as "Claimant", represented himself at the hearing. Respondent, E*Trade Securities, LLC, hereinafter referred to as "Respondent", was represented by John Bersin,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02745 Deming Li and Shunhua Li, Claimants vs. Marivi Rodriguez, Respondent. ATTORNEYS: Claimants appeared Pro Se, Miami, FL. For Respondent appeared Citicorp Compliance Counsel, Jennifer M. Newman, Long Island City, NY. DATE FILED: June 28, 2000 CASE SUMMARY: Claimants alleged Respondent misrepresented the nature of the account Claimants opened and failed to disclose or omitted

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Estate of Kenneth J. Durbin, Sr. Chester Louis Durbin Donald Robert Durbin Lori Durbin Dale Durbin Kenneth J. Durbin, Jr. Lou Durbin Case No. 00-00307 Names of Respondents Salomon Smith Barney, Inc. Thomas A. Greene Steven D. Katzman Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Kenneth J. Durbin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Pare Number 02-03021 J.W. Carry, Jr. and the J.W. Carry, Jr. IRA Names of the Respondents Hearing Site- Washington, D.C. CIBC Oppenheimer Corp. n/k/a CISC World Markets Corp., John P. Harrington, Jr., Harold L. Perkins, Jr., and John R. Phillips Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claiman

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-03019 Michael H. Schaffer, claimant vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated, respondent. ATTORNEYS Claimant appeared pro se, Sunrise, FL. For responent appeared in-house counsel, Dimitri Nernirovsky, Esq., New York, NY. DATE FILED: May 22, 2002 CASE SUMMARY: Claimant alleged that respondent recommended stock through research reports that were misrepresented and contain

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-03013 Kenneth Groulx Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Lester Leroy Hodges, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Kenneth Groulx, hereinafter referred to as "Claimant": Nicholas J. Taldone, Esq., The Law

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Nancy W. Fromm Namp nf the Respondents UBS Painewebber Inc. and Donna Rizor Longfellow Number- 02-03005 Rearing Site: Richmond, Virginia RF.PKFSF.NTATTON OF PARTTF.S Claimant Nancy W. Fromm ("Ms. Fromm" or "Claimant") was represented by Attorney Mark J. Krudys, Esquire of Mark J. Krudys, PLC, Richmond, Virginia Respondents UBS Pain

Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Union Securities, Inc. Case Number: 02-02999 Claimant and Counter-Respondent, vs. Russell W. Stein, Hearing Site: Houston, Texas Respondent and Counter-Claimant. Claimant and Counter-Respondent First Union Securities, Inc., hereinafter referred to as "Claimant," or "First Union" was represented by Ronald P. Kane, Esq. and Thomas A. Volz, Esq. of Kane & Fischer, LTD. lo