AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Gary R. Brown and Name of Respondent Morgan Stanley DW, Inc. Case Number: 02-03347 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Gary R. Brown ("Claimant") was represented by Brian Turner, Esq., of Robins, Cloud, Greenwood & Lubel, L.L.P., of Austin, Texas. Morgan Stanley DW, Inc. ("MSDW")

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Lucchese and John Lucchese LLC, (Claimants) vs. Donaldson Lufkin & Jenrette Securities Corp. and Emil Spinelli, (Respondents) Case Number: 00-02725 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, John Lucchese ("Lucchese") and John Lucchese LLC ("Lucchese LLC"), hereinafter collectively referred to as "Claimants": Frank Viola, Esq., Viola, Benedetti

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between NASO Dispute Resolution inc. Name of Claimants U J r\\ SEP 3 02003 DONALD N. WIGGINS, individually [J Li and as trustee for the DONALD WIGGINS AND ^:#— — MARY W. WIGGINS LIVING TRUST Dtd. 4/26/96 and 02-03345 Phoenix, Arizona Name of Respondents MORGAN STANLEY, a/k/a MORGAN STANLEY DEAN WITTER, a broker-dealer firm; and WOODROW STEWART, a registered representative.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Bennett Partnership (Claimant) v. Prim Securities, Inc., Prim Advisors, Inc., Prim Capital Corp., and Navellier & Associates (Respondents) Case Number: 02-03336 , Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Non-Members. REPRESENTATION OF PARTIES Claimant The Bennett Partnership ("Partnership") hereinafter referred to as "Claimant": Howard Gro

A , ORIGINAL Award NASD Dispute Resolution In the Matter of the Arbitration Between: Leo Sroka, Marilyn Sroka, and Sroka Family, LLC, Claimants v. Prudential Securities. Inc. and Jeffrey Skoll, Respondents Case Number: 02-03333 Hearing Site: Las Vegas, Nevada Nature of Dispute: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES For Claimants: Neil J. Seller, Esq. Law Offices of Neil J. Beller, Ltd. Las Vegas, Nevada

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William L. Worthington, Sr. and Nellie V. Worthington JTWOS v. Prudential Securities, Inc. (n.k.a. Prudential Equity Group, LLC), Bear, Stearns & Co., and Peter E. Brown Case Number: 02-03332 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES For Claimants: Timothy D. Murphy, Esq. Law Offices of Jam

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lori Gaffhey and Brian Gaffhey, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Ian H. G. Rogers, Respondents Case Number: 02-03331 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES For Claimants: Daniel H. Skerritt F. Jackson Lewis, II, Tonkon Torp LLP Portland, Oregon For Respondents: Daniel S. Savrin Corin R. Swift Bingham McCutc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS/Paine Webber Inc. n/k/a UBS Financial Services Inc., Claimant v. David J. Somrack, Respondent Case Number: 02-03330 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Tamara Beatty Peterson, Esq. Jones Vargas Las Vegas, Nevada For Respondent: David J. Somrack In Pro Se Rancho Palos

In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-03329 Eutaw Morton, TTEE U/A DTD 07/02/1997 by Eutaw Morton Revocable Trust Name of the Respondent Hearing Site: Little Rock, AR Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Eutaw Horton, TTEE U/A DTD 07/02/1997 by Eutaw Morton Revocable Trust, hereinafter referred to as "Claimant": Charles Darwin Da

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Bruce Hallock Names of the Respondents Raymond James & Associates, Inc., a Florida corporation Jacqueline LaLonde Patrick Meroney Case Number: 02-03326 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Bruce Hallock, hereinafter referred to as "Claimant": Stevan J. Pardo, Esq. and Elissa Gainsburg, Esq., Pardo & Gainsburg, LLP,