Award NASD In the Matter ot the Arbitration Between: Name of the Claimant Case Number: 02-02241 First Union Securities, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Sergio A. Mesa REPRESENTATION OF PARTIES For First Union Securities, Inc. ("FUS"), hereinafter referred to as "Claimant": Jonathan E. Levine, Law Offices of Daniel S. Fione, Arlington, Virginia. Respondent Sergio A. Mesa ("Mesa") appeared pro se. CASE INFORMATION

Award NASD In the Matter of the Arbitration Between: Name of Claimant First Union Securities, Inc. Name of Respondent Melodee A. Moore Case Number: 02-02240 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For First Union Securities, Inc. ("Claimant")" Jonathan Levine, Esq., Law Office of Daniel S. Fiore, Arlington, Virginia. For Melodee A. Moore ("Respondent"): Ira C. Hatch, Esq., Hatch & Doty, P.A., Vero Beach, Florida. CAS

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-02235 Maralynne Flehner Lawrence G. Spielvogel ATBE Maralynne Flehner IRA FBO Maralynne Flehner Maralynne Flehner SEP FBO Maralynne Flehner Name, of the Respondents Hearing Site- Philadelphia, PA Merrill Lynch Pierce Fenner & Smith, Inc. David A. Mallach Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gary Grossman as executor of the Estate of Roslyn Dubin (Claimant) vs. Charles Schwab & Co., Inc. (Respondent) Case Number: 02-02229 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Gary Grossman as executor of the Estate of Roslyn Dubin hereinafter referred to as "Claimant"): Randy Scott Zeiin, Esq., P.C., Westbury, NY. Respondent Charles Schwab & Co., Inc. h

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-02224 Harry T. Barnes, Sr. Virginia E. Barnes Names of the Respondents Hearing Site: Tampa, Florida GE Life and Annuity Assurance Company Allapree Securities, Inc. Jeffrey Michael Dupree REPRESENTATION OF PARTIES For Harry T. Barnes and Virginia E. Barnes hereinafter referred to as "Claimants": Virginia Zock Houser, Esq. and Gregory M. Kehoe, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ft riai'manta CasR Number: 02-02217 Ken Butschek and Las Entrades Joint Venture, TJainff of the Kftspnndents Hearing Site: Houston, Texas Trade.Com Online Securities, Inc. f/k/a Bluestone Capital Securities, Ladenburg Thalmann & Co., Inc., Michael Lawrence Sherman, Joseph Anthony Yicari and William Augustus Silva, Claimants Ken Butschek and Las Entrades Joint Venture

08V05/2004 16:07 FAX 202 729 8082 NASD DISPUTE RESOLUTION 1002/009 Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: v rag-Number 02-02212 Gopesh K..Shanna as Custodian for Giriraj K. Sharma Gopesh K- Sharma as Custodian for Kavila Sharma Gopesh K. Shanna as Trustee of the Piedmont Qtofcryngotogy Head and Neck Surgery Retirement Plan MemekBwteson Scott A. Kramnick Kmnnick Associates Washington

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Lissberger, individually and as Trustee of the John Lissberger Revocable Trust, Claimant v. Wells Fargo Brokerage Services, L.L.C., Peter J. Evanecko and Phillip S. Loomis, Respondents Case Number: 02-02209 Hearing Site: Los Angeles, California Nature of Dispute: Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES For Claimant: Robert E. Thompson, Esq.

NASD In the Matter of the Arbitration Between; Name of the Claimant L.D. Lewis, Jr. Names of the Respondents Salomon Smith Barney Inc. Joe Tom King, Jr. Case Number: 00-02579 REPRESENTATION OF PARTIES For L.D. Lewis, Jr., hereinafter referred to as "Claimant": William Krizner, Esq., Collins & Truett, P.A., Tallahassee, FL. For Salomon Smith Barney Inc. ("SSB") and Joe Tom collectively referred to as "Respondents": Victor A. Machinski

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Alan Stein, Claimant v. UBS Financial Services Inc., Janet Grace Attard, Bertram Slavick, Russell Farrell, Lisa Contillo and James Klein, Respondents Case Number: 02-02207 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Timothy D. Murphy, Esq. Law Offices of James