Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard R. Campbell, (Claimant) vs. .Merrill Lynch Pierce Fenner & Smith, Inc., and Peter Raymond Christie (Respondents) Case Number: 02- 00687 Hearing Site: Cleveland, OH REPRESENTATION OF PARTIES Claimant Richard R. Campbell, hereinafter referred to as "Claimant": J. Michael Goldberg Esq., Law Offices of J. Michael Goldberg, Canfield, OH. Respondents Merrill Lynch Pierce Fenne

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The William G. Witmer Trust Dated June, 1991, by Deanna M. Spencer its successor Trustee, and William G. Witmer as a beneficiary of the Trust, Claimants v. CIBC World Markets Corp., LCP Capital Corp., Anthony J. Aliotta, Jr., Gregory E. Ricca, Joseph C. Quattrochi, Charles S. Staffers, Harold P. Donnerstag, John Monteforte and Joseph Mastrianni, Respondents Case Number: 02-00685 Hearing

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia and Raymond Greulich and Mary Jo Wingard (Claimants) v. Prudential Securities, Inc. and Robert C. Goe (Respondents) Case Number: 02-00679 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Patricia Greulich ("P. Greulich"), Raymond Greulich ("R. Greulich"), and Mary Jo Wingard ("Wingard"),

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Portia Arutunian and Diane Torres, Claimants v. U.S. Pacific Financial Services, Inc., Wayne Jon Miller, Roger Y. Fan, John Chun Hu, and Chunpong Lau, Respondents Case Number: 00-02492 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: For Respondents U.S. Pacific Financial Services, Inc., Roger Y. Fan, John Chun Hu, and Chungpong Lau

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Plaimant Pagp ^mhpr- 02-00677 Eugenia Alba n f ths Rf yr n Ty1mtft Hf firing Site* Chicago, Illinois Stifei, Nicolaus & Company, Incorporated, Dalyne Shinneman, Michel Schenone, Kathleen Michael, David Hogan and Edward Poth RFPRFSFNTATTm\ Claimant, Eugenia Alba ("Alba" or "Claimant") was represented by Michael Gaertner, Esq. and Andrew Gifford, Esq

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant / Counter-Respondent First Union Securities, Inc. n/k/a Wachovia Securities Inc. v. 02-00676 Denver, Colorado Respondent / Counter-Claimant Kurt J. Kuchta Nature of Dispute: Member v. Associated Person and Associated Person v. Member REPRESENTATION OF PARTIES First Union Securities, Inc. n/k/a Wachovia Securities Inc. ("Claimant") was represented by Renan I.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Paul M. Heffern and Names of Respondents H&R Block Financial Advisors, Inc. and Richard M. Craig Case Number: 02-00675 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Paul M. Heffern ("Claimant") was represented by Walter J. Skotynsky, Esq., Toledo, Ohio. i H&R Block Financial Advisors, Inc. ("HRB") and Richard M. Craig ("Craig"),

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-01314 Linda K. Nash Names of the Respondents Hearing Site: Atlanta, Georgia Salomon Smith Barney, Inc. Mark C. Callaway REPRESENTATION OF PARTIES For Linda K. Nash, hereinafter referred to as "Claimant": Michael P. Gilmore, Esq., Sims Moss Kline & Davis LLP, Mineola, New York and Raymond L. Moss, Esq. and Gerald B. Kline, Esq., Sims,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant / Counter-Respondent First Union Securities, Inc. v. 02-01309 Denver, Colorado Respondent / Counter-Claimant John Henry Staiano Nature of Dispute: Member v. Associated Person and Associated Person v. Member REPRESENTATION OF PARTIES First Union Securities, Inc. ("Claimant or Counter-Respondent") was represented by Renan I. Sugarman, Esq., First Union Securiti

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: UBS PaineWebber, Inc., Claimant v. A.G< Edwards & Sons, Inc., Roger H. Aiken, Michael S. Boulos and Patrick G. McQuilling, Respondents Case Number: 02-01306 Hearing Site: Asheville, North Carolina REPRESENTATION OF PARTIES For UBS PaineWebber, Inc, hereinafter referred to as "Claimant PaineWebber": Will Hill Tankersley, Esq. and Lee H. Zell, Esq., Balch & Bingham, LLP, Birming