Award NASD Dispute Resolution In the Matter of the Arbitration Between: Johel Ortiz and Yolanda Ortiz, Trustees of the Ortiz Family Trust, Claimants v. American National Municipal Corporation and Marshall J. Field, Respondents Case Number: 02-01779 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: David C. Hinshaw, Esq. Law Offices of David C. Hinshaw Sa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gedalje Greenblatt (Claimant) v. Prudential Securities, Inc., Steven Moskowitz, and Louis Liberatore (Respondents) Case Number: 02^01778 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Gedalje Greenblatt, hereinafter referred to as "Claimant": Sheldon S. Leffler, Esq., Koppell, Leavitt, Kerson, Leffler & Duane, LLP, Forest Hills, NY. Respondents, Prudential

NASD Dispute Resolution Arbitration No. 02-01777 Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 02-01777 Onofrio Prinzivalli and Caterina Prinzivalli Name of the Respondents Hearing Site: New York, New York PNC Brokerage Corp. Gary Stefanski REPRESENTATION OF PARTIES Claimants, Onofrio Prinzivalli and Caterina Prinzivalli, hereinafter collectively referred

Stipulated Award NASD Dispute Resolution In the Matter of Arbitration Between: Alan R. Sizmur and Angeles M. Sizmur Case Number: 02-01776 v. Lehman Brothers Inc. and John Hafher Hearing Site: Philadelphia, PA Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Alan R. Sizmur and Angeles M. Sizmur, hereinafter collectively referred to as "Claimants", were represented by Anthony J. Horn, Esq., 401 Br

Award - NASD Dispute Resolution In the Matter of the Arbitration Between: e.r- 02-01769 Leo and Debra Sniger ring hSite* Philadelphia, PA Merrill Lynch Pierce Fenner and Smith, Inc. Paul Hayes Jane F. LaMay Claimants, Leo Sniger and Debra Sniger, hereinafter collectively referred to as "Claimants", were represented by W. Mark Mullineaux, Esq., Flamm, Boroff & Bacine, PC, Blue Bell, PA. Respondents, Merrill Lynch Pierce Fenner and Smith, Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Helen and Norman Stamm, Claimants v. A.G. Edwards & Sons, Inc., Respondent Case Number: 02-01765 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES For Claimants: Norman Stamm Portland, Oregon For Respondent: Nuviah Shirazi A.G. Edwards & Sons, Inc. St. Louis, Missouri CASE INFORMATION Statement of Claim Filed: March 25, 2002 Amendment to Statement of Claim

Stipulated Award p c r* c f \ / r~ NASD Dispute Resolution ' '" u v L "' * c A 8:55 In the Matter of the Arbitration Between: h - - • ^ - : - .•-;!:, Ronald Klamer, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney and Marshal McCreal, Respondents Case Number: 02-01762 Hearing Site: Seattle, Washington Nature of Dispute: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of-Claimant Betty House Jennings and Case Number: 02-01760 Hearing Site: Houston, Texas Names of Respondents FFP Securities, Inc., and James Oliver White, Jr. NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Betty House Jennings ("Claimant") was represented by Gerald S. Siegmyer, Esq., of Seigmyer, Oshman & Geddie,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Jack L. DeRosia and Karoline DeRosia and Names of Respondents Sentra Securities Corp. and Charles W. Hapner, Jr. Case Number: 02-01759 Hearing Site: Southfieid, Michigan REPRESENTATION OF PARTIES Jack L. DeRosia and Karoline DeRosia ("Claimants") were represented by Michael P. Marsalese, Esq., Southfielql, Michigan. Sentra Securities Cor

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Qiurong Hu, Claimant v. E*Trade Securities, Inc., and Robert Kelly, Respondents. Case Number: 00-02654 Hearing Site: Honolulu. HI REPRESENTATION OF PARTIES For Claimant: Mr. Yeben Liu 2499 Kapiolani Blvd. #3303 Honolulu, HI 96826 For Respondents: Mr. Ekwan E. Rhow, Esq. Bird, Marella, Boxer & Wolpert 1875 Century Park East 23 rd Floor