Award NASD Dispute Resolution In the Matter of the Arbitration Between; Carol Styner (aka Carol Poultridge), Claimant v. A.G. Edwards & Sons, Inc. and Douglas M. Reilty, Respondents Case Number: 02-02073 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimant: Janet L. Rice, Esq. Schroeter Goldmark & Bender Seattle, Washington For Respondents: Phyllis A. Hartrich, Esq. A.G. Edwards & Sons, Inc. St. Louis, Missouri CA

NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Janney Montgomery Scott, Inc., (Claimant) vs. Edward L Levy, (Respondent) Case Number: 00-02570 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Janney Montgomery Scott, Inc,, hereinafter referred to as "Claimant": Peter C. Kennedy, Esq., Hecker Brown Sherry and Johnson, Philadelphia, PA. Respondent, Edward J. Levy, hereinafter referred to as "Respondent", did not ap

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-02071 Basem Rodolpho Names of the Respondents Hearing Site: Orlando, Florida Allen Douglas Securities, Inc. Terry Swartz Rembert T. Brown, II Nature of the Dispute: Customer vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES For Basem Rodolpho ("Rodolpho")., hereinafter referred to as "Claimant": Stephen D. Spivey, Esq.,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant The Irving Richie Trust and Name of Respondent Merrill Lynch Pierce Fenner & Smith Case Number: 02-02069 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES The Irving Richie Trust ("Claimant") was represented by Sheldon E. Richie, Esq., of the Irving Richie Trust, in Austin, Texas. Merrill Lync

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Augustus Theodore Capers, Jr., (Claimant) vs. H&R Block Financial Advisors, Inc., (Respondent) Case Number: 02-02068 Hearing Site: New York, New York - • • . • , < REPRESENTATION OF PARTIES Claimant, Augustus Theodore Capers; Jr., hereinafter referred to as "Claimant", appeared pro se. • •'-• •'"• • '• i ' r , * ', > ', » < Respondent, H&R'Block Financial'Advisor

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Oshin Ovanessian, Claimant v. Protrader Securities Corporation, Zone Equity Partners, LP, Instinct Corporation, John Kim, Robert Zuckerman, David Burch, Amy Donovan, David Hunt, David Jamail, and John McEntire, IV, Respondents Case Number: 02-02058 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person v. Members and Associated Persons REPRES

Amended Award ^^ Vr mit NASD Dispute Resolution In the Matter of the Arbitration Between: Jim York and Betty York, Claimants v. Prime Charter Ltd., Mark A. Feldman and James A. Gianni, Respondents Case Number: 02-02057 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Richard Sacks Timothy A. Canning, Esq. Novato, California For Respondents: Mar

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jim York and Betty York, Claimants v. Prime Charter Ltd., Mark A. Feldman and James A. Gianni, Respondents Case Number: 02-02057 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Richard Sacks Timothy A. Canning, Esq. Novato, California For Respondents: Margarita L. Landabur

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fred S. Fuld, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith., Inc. and Richard Sakai, (Respondents) Case Number: 02-02050 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Fred S. Fuld hereinafter referred to as "Claimant": Brian J. Neville, Esq., New York, NY. Originally Claimant appeared/?/-< ? se. Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION 'CASE: 02-02049 Roger Baughman, claimant vs. Joseph Kulchar and Merrill Lynch, Pierce, Fenner & Smith, respondents. ATTORNEYS: Claimant appeared pro se, San Diego, CA. For Respondents appeared in-house counsel, Richard Kim, Esq., New York, NY. DATE FILED: April 9, 2002 CASE SUMMARY: Claimant alleged that respondents made investments that were contrary to his objectives. Claimant maintained th