Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nguyen Khiem, Claimant v. BrokerageAmerica, Inc., Respondent Case Number: 02-01046 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: In Propria Persona For Respondent: Sam Guidetti III BrokerageAmerica, Inc. New York, New York CASE INFORMATION Statement of Claim filed: February 19,2002 Claimant's Uniform Submission Agreement signed: Februa

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-01043 Richard H. Davis and Judy Davis 1 Names of the Respondents Hearing Site: Atlanta, Georgia Morgan Keegan & Company, Inc. as successor to Regions Investment Company and Roger Dale Taylor REPRESENTATION OF PARTIES For Richard H. Davis and Judy Davis, hereinafter collectively referred to as "Claimants": Robert J. Kaufman, Esq., Kaufman, Chaiken,

Stipulated Award NASD In the Matter ot the Arbitration between: Names of the Claimants Case Number: 02-01041 Dr. Arthur G. Shapiro and Rivka Shapiro Name of the Respondent Hearing Site: Boca Raton, Florida Salomon Smith Barney, Inc. REPRESENTATION OF PARTIES For Dr. Arthur G. Shapiro and Rivka Shapiro, hereinafter referred to as "Claimants": Milton J. Wallace, Esq., Wallace, Bauman, Legon, Fodiman, Ponce and Shannon, P.A., Miami, Florida. Fo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01036 Harbhajan Singh and Sukhjit Kaur, claimants vs. Ira A. Cohen and McLaughlin, Piven, Vogel Securities, respondents. ATTORNEYS: Claimants appeared pro se, San Jose, CA. For Respondents appeared Mark G. Vaughan, Esq., of The Law Offices of Joseph D'Elia, Huntington, NY. DATE FILED: February 21, 2002 CASE SUMMARY: Claimants alleged that respondents purchased the Sun America Style S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Garrett J. Butryrn Case No. 00-02463 Robert W. Baird & Co. Incorporated; and Robert R. Slater Hp.aring Sire: Milwaukee, Wisconsin OF Claimant Garrett J. Butrym ("Butrym") was represented by Mark E. Sanders, Esq. and James G. Rodgers, Esq. of the firm of Ballings & Cayo, S.C., located in Milwaukee, Wisconsin. Respondents Robert W. Baird & Co. Incorporated ("Baird") a

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sophie Maale, Gerhard and Kirn K. Maale, Karen M. and Patrick J. Roth Andres U. Katz, Ocana Corp. N.V., Albert E. and Judy Butler, Hugh and Herbie Raulerson, Gabriel Alarcon, Vernon H. and Janet C. Jones v. MJ Whitman, Inc., First Securities Investments, Inc., C. Richard Gray, Thomas M. Marshburn, Jr. and Thomas Reilly Case No. 00-00273 Hearing Site: Boca Raton, Florida RE

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants HAROLD KRIV and ESTELLE KRIV, individually and as trustees on behalf of the : • A HAROLD & ESTELLE KRIV TRUST < "' ^ ..' "" U/A DTD 12/11/1995 and 02-01029 Phoenix, Arizona Name of Respondents U.S. BANCORP PIPER JAFFRAY INC. and SHELLY BIENSTOCK REPRESENTATION OF PARTIES HAROLD KRIV and ESTELLE KRIV, individually and as trus

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ada Anderson, Claimant v. Royal Alliance Associates, A Sun America Company a.k.a. Royal Alliance Associates, Inc., Nichole J. Mustard and Michael E. Curry, Respondents Case Number: 02-01022 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Jeff Dennis Ferenz, Esq. Nationwide S

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Howard I. Wertheim vs. Daniel Horgan and Sutro & Co. Incorporated Case Number: 02-01021 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Michael Huberman, Esq. Michael Huberman & Associates La Quinta, California For Respondents: Michael M. Gless, Esq. Keesal, Young & Logan Long Beach, California CASE INFORMATION Stateme

Award NAJSD Dispute Resolution In the Matter of the Arbitration Between: Joy S. Stroehmann, Claimant v. A.G. Edwards & Sons, Inc. and Conrad Peloquin, Respondents Case Number: 02-01019 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Reed H. Bement, Esq. Law Offices of Reed H. Bement, Inc. San Francisco, California For Respondents: Matthew R. Salamon,