Award NASD Dispute Resolution In the Matter of the Arbitration Between: p. of the Claimant $ Case Nnmhp.r 02-01254 Sharon C. Ferguson, Robin M. Schudmak, and Jonathan Schudmak, Name nf the 'Respnnffentg Hearing Site: Houston, Texas Prospera Financial Services, Inc., fk/a Addison Securities, Inc., YTM, Inc., Jonathan D. Stein, David W. Stringer, Tim A, Edwards, Richard D. Pascuzzi, Brett T. Deming, and Larry J. Bolden, Claimants S

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: i Name of the Claimants Case Number: 02-01252 •• , i "~~ Margaret Bennett; ' ' / Carolyn and Martin Fishback; , ( Gertrude Troester; and , Carol L. Fishback ' ' , (| . ' , Name of the Respondents ' Hearing Site: Chicago, Illinois Citigroup Global Markets, Inc. , (f7k/a Salomon Smith Barney, Inc.) and David C. Hawkinson i REPRESENTAT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Raymond H. Duarte, Claimant v. Richard V. Coyer, Lynn A. Tandler a/k/a Carolyn Loizzo, Laura L. Walls, the firm of Coyer, Loizzo and Walls, USAilianz Securities, Inc., and Sentra Securities Corporation, Respondents Case Number: 02-01246 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimant: David Liebrader, Esq. David Liebrader, A.P.C. Las Vegas, Nevada

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elizabeth A. Elliott, Elizabeth L. Elliot, and Mor-Ell, LLC, Claimants v. A.G. Edwards & Sons, Inc. and Robert A. Fuller, Respondents Case Number: 02-01245 Hearing She: Seattle, Washington REPRESENTATION OF PARTIES For Claimants: Carl J. Carlson, Esq. Carlson & Fabish, P.S. Seattle, Washington For Respondents: Michael Naccarato, Esq. A.G. Edwards & Sons, Inc. St. Lou

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tiep D. Nguyen, (Claimant) vs. T.D. Waterhouse, (Respondent). Case Number: 00-02475 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Tiep D. Nguyen hereinafter referred to as "Claimant": Paul F. Caputo, Esq. San Jose, California. T.D. Waterhouse hereinafter referred to as "Respondent": Julie A. Cole, Esq. Keesal Young & Logan San Francisco, California

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-01241 Vivian Carol Ausbom Name of the Respondent Hearing Site: Boca Raton, Florida John Occhiogrosso REPRESENTATION OF PARTIES For Vivian Carol Ausborn, hereinafter referred to as "Claimant": Russell C. Silverglate, Esq. and Robert H. Rex, Esq., Dickenson, Murphy, Rex and Sloan, Boca Raton, Florida. John Occhiogrosso, hereinafter referred to as "Respondent"

Award i NASD Dispute Resolution In the Matter of the Arbitration Between: i * i Name of the Claimant ,',, ' Qase Number: 02-01240 David Hill t i IH Names of the Respondents ' Hearing Site: Tampa, Florida Morgan Stanley Dean Witter & Co. a/k/a Morgan Stanley DW, Inc. „ , Stephen E. Woeber ' , Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For David Hill, hereinafter referred to as "

Amended Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-01239 Sakineh Moneer McKenney, Sakineh Moneer McKenney Alliance Large Cap Growth, Elham Ghaffari and Sakineh M. McKenney JTWROS, Moneer McKenney IRA, Steve E. McKenney, Steve E. McKenney IRA Rollover, Steve E. McKenney SEP IRA and Global Software Smith Barney Inc MP Steven McKenney Trustee Names of the Respondents Hearing Si

Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Names of Claimants _ Case Number: 02-01239 Sakineh Moneer McKenney, Sakineh Moneer McKenney Alliance Large Cap Growth, Elharn Ghaffari and Sakineh M. McKenney JTWROS, Moneer McKenney IRA, Steve E. McKenney, Steve E. McKenney IRA Rollover, Steve E. McKenney SEP IRA and Global Software Smith Barney Inc MP Steven McKenney Trustee Names of Respondents _ _____ Hcarine Site: T

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jaehee Yoshimoto, Claimant v. SunAmerica Securities, Inc. and Donald S.K. Ching, Respondents Case Number: 02-01237 Hearing Site: Honolulu, Hawaii REPRESENTATION OF PARTIES For Claimant: Mark G. Valencia, Esq. Damon Key Leong Kupchak Hastert Honolulu, Hawaii For Respondents: Jay T. Suemori, Esq. John Koa Holiona, Esq. Suemori & Aipa Honolulu, Hawaii CASE INFOR