Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stephen M. Bauer, Case Number: Claimant and Counter-Respondent, vs. First Union Securities, Inc. and Wachovia Corp., Hearing Site: Respondents and Counter-Claimants. 02-02172 Houston, Texas PAT3TTFS Claimant and Counter-Respondent Stephen M. Bauer, hereinafter referred to as "Claimant," was represented by John C. Allen, Esq. of John C. Allen PC located in Houston

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the f!1 aim ants Case Number: 02-02171 William T. and Cinda A. Fichter Names nf the Respondents Hearing Site* Pittsburgh, PA Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., Nadav N. Baum, and Kim L. McCann Nature of the Dispute: Customers vs. Member and Associated Persons RFPRFSFNTATTON OF PARTIFS Claimants, William T. and Cinda A. Fichter, here

Award NASD Dispute Resolution in the Matter oitne Arbitration between: Name of the Claimant John Mattera Case Number: 02-02165 Names of the Respondents Travis Morgan Securities, Inc. Vanessa Rosenblum National Capital Securities, Inc. American Investment Services, Inc. Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John Mattera ("Mattera"), hereina

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Linda Scharck, Claimant v. First Wall Street Corp., Charles Paul Lazzaro, and Gretchen M. Schorr, Respondents Case Number: 02-02160 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Michael Huberman, Esq. Michael Huberman & Associates La Quinta, California For Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert A. Thompson, Individually and as Trustee of the Thompson Trust dated 7/6/95 and as beneficiary of the Robert A. Thompson IRA, Thelma M. Thompson, Individually and as Trustee of the Thompson Trust dated 7/6/95 and as beneficiary of the Thelma M.Thompson IRA, Claimants v. Merrill Lynch, Pierce, Fermer & Smith Incorporated and James A. Perry, Respondents Case Number: 02-02159 He

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-02155 UBS PaineWebber, Inc., claimant vs. John Trepanier, respondent. ATTORNEYS: For Claimant appeared Romaine L. Gardner, Esq., Staten Island, NY. For Respondent appeared Philip M. Halpern, Esq. of the firm Collier, Halpern, Newberg, Nolletti & Bock, LLP, White Plains, NY. DATE FILED: April 12, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed under the

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-02152 First Montauk Securities Corp. Names of the Respondents Hearing Site: Tampa, Florida Raymond James & Associates, Inc. BNY Clearing Services LLC f/k/a Schroder & Co., Inc. Lewco Securities Corp. Kevin Vander Kelen Nature of the Dispute: Member v. Members and Customer. REPRESENTATION OF PARTIES For First Montauk Securities Cor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants John E. Clark and Kathryn M. Clark Names of the Respondents Cadaret, Grant & Co., Inc. and Thomas A. Toth, Sr. Case Number: 02-02151 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For John E. Clark and Kathryn M. Clark, hereinafter collectively referred to as "Claimants": Richard A. Stephens, Esq., Law Office of Richard A. Stephens

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant John F. Sciarrino MD TTEE U/A DTD 1-1-94 John F. Sciarrino MD EMP PSP (IMPAC) Names of the Respondents Raymond James Financial Services, Inc. and Frederick L. Dowd Case Number: 02-02148 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John F. Sciarrino

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Frank A. Morris, Claimant v. Raymond, James Si Associates, Inc. and John Owen Clark, Respondents Case Number: 00-2578 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES Claimant Frank A. Morris: appeared pro re For Respondents Raymond James & Associates, Frederick S. Schrils. Esq Inc. ("Raymond. James") and John Owen Clark Holland & Knight LLP ("Clark") Tampa, Flor