Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Stanley D. Legum - Name of the Respondents Salomon Smith Barney Inc., and Scott W. McEnnis Case Number 00-02576 Hearing Site: Norfolk, Virginia RF.PRF.SFNTATTON OF PARTIES Claimant Stanley D. Legum, hereinafter referred to as "Claimant", was represented by W. Scott Greco, Esq. and Frederick Greco, Esq., Greco & Greco, P.C., McLean, Virginia.

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-02111 Fidelity Brokerage Services, Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Robert W. Jordan a/k/a Robert W. Jordan, Jr. REPRESENTATION OF PARTIES For Fidelity Brokerage Services, Inc. ("Fidelity"), hereinafter referred to as "Claimant": Laurence K. Richmond, Esq., Laurence K. Richmond & Associates, P.C., Quincy, Massachusetts. Rob

In the Matter of the Arbitration Between: UBS Financial Services Inc., Claimant Dallas, Texas. vs. Bryan Marion, Respondent Case Number: 02-02109 NATURE OF DISPUTE: Member v. Former Associated Person REPRESENTATION OF PARTIES: UBS Financial Services Inc., hereinafter referred to as "Claimant": Laura Martin, Esq. of the firm of Davidson & Grannum, LLP, located in Northvale, New Jersey. Respondent Bryan Marion did not enter an appearance in this matter.

*• 4 Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Theresa Parks, Claimant v. A.G. Edwards & Sons, Inc. and Tiffany A. De Ruosi, Respondents Case Number: 02-02105 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: David Boros, Esq. Law Offices of David Boros Irvine, California For Respondents: David M. Minnick, Esq.

Award NASD Dispute Resolution BftHAR-R A 3:55 In the Matter of the Arbitration Between: nEG ; 3TRA; m "-. GoC DSUf^E Carolyn Davidson TTEE U/A DTD 2/16/1995 By Davidson Revocable Trust, Claimant v. Merrill, Lynch, Pierce, Fenner & Smith, Inc. and John T. Folsom, Respondents Case Number: 02-02103 Hearing Site: San Diego. California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Ronald

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-02101 Larry Shiller, claimant vs. TD Waterhouse Investor Services, Inc., respondent. ATTORNEYS: Claimant appeared pro se, Skillman, NJ. For Respondent appeared in-house counsel, Janis Campanella, Esq., Boca Raton, FL. DATE FILED: April 11, 2002 CASE SUMMARY: Claimant alleged that respondent took money from claimant's margin account to cover the purchase of shares from his cash account wi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard A. Racana, (Claimant) v. Mark Gonzalez, Vincent Viola, Edward Nocella, Michael Picozzi, m, William Meyers, and Andover Brokerage, LLC, (Respondents) Case Number: 02-02093 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Richard A. Racana, hereinafter referred to as "Claimant": appeared pro se in this matter. Respondents, Mark Gonzalez ("Gon

. , A WHY*/! riwaiu NASD Dispute Resolution In the Matter of the Arbitration Between: Pacific American Securities, LLC, Claimant v. Paul Walter McGee, Respondent Case Number: 02-02083 Hearing Site: San Diego, California Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For Claimant: Daniel M. Classman, Esq. Paul, Hastings, Janofeky & Walker LLP Costa Mesa, California For Respondent: G. Thomas Fleming, III, Esq

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-02078 Charles Schwab & Co., Inc., claimant vs. Su Wang, respondent. ATTORNEYS: For Claimant appeared Brandon K. Hemley, Esq., in-house counsel, San Francisco, CA. Respondent appeared pro se, Houston, TX, DATE FILED: April 10, 2002 CASE SUMMARY: Claimant alleged that respondent has failed to repay monies owed as a result of shares of Enron stock being purchased on margin and the value dec

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roman/Thayer Design, Inc., Robert Rosenberg, and the Robert Rosenberg IRA, (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., (Respondent) Case Number: 02-02077 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Roman/Thayer Design, Inc. ("Roman"), Robert Rosenberg ("Rosenberg"), and the Robert Rosenberg IRA ("Rosenberg IRA"), hereinafter collectively ref