Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant MarkB. Summers Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 02-03301 (Consolidated with 02-03302) Hearing Site: Boca Raton, Florida In the Matter of Arbitration Between: Name of the Claimant Mark B. Summers Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 02-03302 (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant MarkB. Summers Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 02-03301 (Consolidated with 02-03302) Hearing Site: Boca Raton, Florida In the Matter of Arbitration Between: Name of the Claimant Mark B. Summers Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 02-03302 (

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Landmark Securities, Inc. Name of the Respondent Daniel A. Sherwood Name of the Third-Party Respondent James C. Gillock, III Case Number: 00-02720 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Landmark Securities, Inc., hereinafter referred to as "Claimant": Jay S. Blumenkopf, Esq. and Jonathan M. Fordin, Esq., Proskauer Rose, LLP,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-03299 Charles Schwab & Co., Inc., claimant vs. Thuong D. Bui a/k/a April Bui, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Brandon K. Hemley, Esq., San Francisco, CA. Respondent did not respond to the Statement of Claim. DATE FILED: June 5, 2002 CASE SUMMARY: Claimant alleged that respondent failed to pay for the purchase of 600 share of QLogic stock. Claimant maintaine

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gayle King (Claimant) v. Gilford Securities, Inc., Global Capital Securities Corporation, Dana H. Davis, Ralph Worthington, Stephen Kaplan, Warren Markowitz, Thomas Poss, and Russell Bean (Respondents) Case Number: 02-03298 Hearing Site: New York, New York Nature of the Dispute: Customer v. Members and Associated Persons. REPRESENTATION OF PARTIES Claimant Gayle King

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 02-03295 Abraham Schlafrig Name of the Respondent: Hearing Site: New York, NY J.B. Hanauer & Co. REPRESENTATION OF PARTIES Claimant, Abraham Schlafrig ("Schlafrig"), hereinafter referred to as "Claimant": Avrom S. Fischer, Esq., Sole Practitioner, Brooklyn, NY. Respondent, J.B. Hanauer & Co. ("Hanauer"), hereinafter referred to as "Responde

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Randall and Harriette Brown (Claimants) v. Morgan Stanley DW, Inc. and Raymond R. Reise (Respondents) Case Number: 02-03294 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Randall and Harriette Brown ("R. and H. Brown") hereinafter collectively referred to as "Claimants": Keith A. McK

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harvey Hirsch, M.D. and Linda Hirsch, Harvey Hirsch, M.D., and Harvey Hirsch, M.D. IRA (Claimants) v. Gruntal & Co., LLC and Daniel Axinn (Respondents) Case Number: 02-03288 Hearing Site: New York, New York Nature of the Dispute: Customers v. Terminated Member and Associated Person. REPRESENTATION OF PARTIES Claimants Harvey Hirsch, M.D. and Linda Hirsch ("H. and L. Hirsch"), Harvey

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ted and Sandra Bair vs. Merrill Lynch Pierce, Fenner and Smith, Inc., and Kurt R. Allen Case Number: 02-03287 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Ted and Sandra Bair ("Bair"), hereinafter collectively referred to as "Claimants": Gregg A. Rossi, Esq., Rossi & Rossi, Youngstown, Ohio. R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-03280 Lynn J. Goodman Carol A. Schwartz Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch Jerry D. Brewster REPRESENTATION OF PARTIES For Lynn J. Goodman ("Goodman") and Carol A. Schwartz ("Schwartz"), hereinafter collectively referred to as "Claimants": Allan J. Fedor, Esq., Law Offices of Fedor & Fedor, Largo, Fl