Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Casp Number- 02-01442 First Union Securities, Inc. n/k/a Wachovia Securities, LLC Name of the Respondent Hearing Site- Philadelphia, PA Steven F. Fondo RFPRF.SF.NTATTON OF PARTTFS Claimant, First Union Securities, Inc., n/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant", was represented by Thomas B. Lewis, Esq., Stark & Stark, Lawrence

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01440 Michael Korsinsky, et ah, claimant vs. Suretrade, Inc. Quick and Reilly, Inc.,Fleet Securities, Inc., respondents. ATTORNEYS: For Claimant appeared pro se, Brooklyn, NY. For Respondents appeared Brian McSherry, Esq., of Quick and Reilly, Inc., New York, NY. DATE FILED: March 12, 2002 CASE SUMMARY: Claimant alleged that respondents were negligent in maintaining his IRA account.

\ Amended Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant Case Number: 00-02526 Johnny Ray Turbeville Name of Respondent Prudential Securities, Inc. Hearing Site: Little Rock, Arkansas REPRESENTATION OF PARTIES For Johnny Ray Turbeville, hereinafter referred to as "Claimant": Sam T. Heuer, Esq., Heuer Law Firm, Little Rock, P.A., Arkansas. On or about January 26, 2001, Richard T. Donovan

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01439 SII Investments, claimant vs. Michael Zent, respondent. ATTORNEYS: For Claimant appeared in-house counsel Gerry Gunderson, Esq., Bismarck, ND. Respondent appeared pro se, Novato, CA. DATE FILED: March 12, 2002. CASE SUMMARY: Claimant alleged that respondent breached his contractual obligations in failing to repay monies owed on a promissory note. Claim Data Award Data Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Glenn R. Firestone (Claimant) v. Chapdelaine Corporate Securities & Company (Respondent) Case Number: 02-01437 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Glenn Firestone, hereinafter referred to as "Claimant": Barry J. Peek, Esq., Meyer, Suozzi, English & Klein, P.C., New York, NY. Respondent, Chap

NASD Dispute Resolution Arbitration No. 02-01435 Award Page 1 of 5 Award NASD Dispute Resolution In the Matter of the Arbitration Between: L. Michael Marcotullio (Claimant) vs. Joseph Gunnar & Co., and Joseph A. Alagna, Jr. (Respondents) Case Number: 02-01435 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant L,. Michael Marcotullio ("Claimant"): Brian J. Davis, Esq., Hauppauge, New York. Respondents Joseph Gunnar & Co.

ward =>>ute Resolution In the Matter of the Arbitration Between: Frederick C. Mayne individually and as Trustee of the Mayne Family Trust UA DTD 6/23/98, Lori Mayne individually and as trustee of the Mayne Family Trust UA DTD 6/23/98, Charles C. McKevitt, Suzanne M. McKevitt, Joseph L. Anderson as a trustee of the Joseph L. Anderson and Tracy M. Anderson Family Trust U/T/D 11/11/99, Tracy M. Anderson as a trustee of the Joseph L. Anderson and Tracy M. Ander

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Keith A. Spizziri Charitable Remainder Trust and Majik Enterprises, LLP And 02-01427 Phoenix, Arizona Name of Respondent Merrill Lynch Pierce Fenner & Smith Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Keith A. Spizziri Charitable Remainder Trust and Majik Enterprises, LLP ("Claimants") were represented by Al

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Torben B. Ehlert, Claimant v. Jefferson Pilot Securities Corporation and Joseph A. Garcia, Respondents Case Number: 02-01424 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Steven Trolard, Esq. Steven Trolard & Associates Thousand Oaks, California For Respondents: Thomas Rittenb

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Eugene A. Doerr and Vicki Doerr V. 02-01422 Denver, Colorado Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Roger A. Lee REPRESENTATION OF PARTIES Eugene A. Doerr and Vicki Doerr ("Claimants") were represented by James M. Ragain, Esq., of Ragain Christensen Fulton & Filz, PLLC, Billings, Montana. Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill