Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christopher J. Wendling and Constance M. Wendling, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case Number: 02-00977 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimants: Al Van Kampen, Esq. Rohde & Van Kampen PLLC Seattle, Washington For Respondent: James P. Lucking, Esq. Bingham McCuthen LLP Seattle, Washington CASE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number Q2-00674 Linda M. Skala, individually, as Trustee of the Linda M. Skala Revocable Living Trust, U/A 10-25-95, and as Custodian of the Linda M. Skala ERA Names of the Respondents Capital Securities of America, Inc. Jerry L. Cline Todd R. Zipfel Pershing Division of Donaldson, Lufkin & Jenrette Securities Corp. Hearing Site: St. Louis

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-00669 Paul E. Bowling, Jr. Names of the Respondents Hearing Site: Tampa, FL DB Alex. Brown, Incorporated Stephen John Kelly Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Paul E. Dowling, Jr., hereinafter referred to as "Claimant": W. Andrew Clayton, Jr., Esq., Browning, Clay

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fahnestock & Co., Inc. (Claimant) v. Sands Brothers & Co., Ltd., Dan Maurer, Brian Bartlett, Eric Cardenas, Dan Sergio De La Cruz, Steven Hill, Randall Martens, John McMaude, David Paiadino, Jignesh Patel, and Lance Royder (Respondents) Case Number: 02-00661 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member and Associated Persons. REPRESENTATION OF PARTIES

Award NASD In the Matter ot tne Arbitration between: Names of the Claimants Case Number: 02-00659 Fahnestock & Co., Inc. and/or Prime Charter Ltd., Inc. n/k/a Fahnestock & Co., Inc. Name of the Respondent Hearing Site: Boca Raton, Florida David I. Nudelman REPRESENTATION OF PARTIES For Fahnestock & Co., Inc. ("Fahnestock") and/or Prime Charter Ltd., Inc. n/k/a Fahnestock & Co., Inc. ("Prime Charter"), hereinafter referred to as "Claimants"

In the Matter of the Arbitration Between: Name of the Claimant Donald O. Hunter Names of the Respondents Donald J. Johnson Retirement Specialists of the South, Inc. SunAmerica Securities, Inc. SunAmerica, Inc. American International Group, Inc. Case Number: 02-00654 Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Donald O. Hunter, hereinafter referred to as "Claimant": John Martin Eades, Jr., Esq. Alabaster, Alabama, Pat

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael J. Hickey, (Claimant) v. Datek Online Services, LLC, (Respondent) Case Number: 00-02461 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Michael J. Hickey ("Hickey"): Steven J. Rosenberg, Esq., Law Office, Chicago, Illinois. Respondent Datek Online Services, LLC ("Datek"): G. Thomas Fleming and Brian G. Mulherin, Esq., Jones, Bell, Abbott, Fle

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Naomi Sayegh (Claimant) v. J. Peter Ricketts, Ameritrade, Inc., Ameritrade Holding Corp., and Accutrade, Inc. (Respondents) Case Number: 02-00652 Hearing Site: New York, New York Nature of the Dispute: Customer v. Members, Non-Member, and Associated Person. REPRESENTATION OF PARTIES Claimant Naomi Sayegh ("Sayegh") hereinafter referred to as "Claimant": Timothy J. Dennin, Esq.,

.Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven P. Lambert (Claimant) v. INVEST Financial Corporation and Jeffrey A. Gagnon (Respondents) Case Number: 02-00651 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATTON OF PARTIES Claimant Steven P. Lambert ("Lambert") hereinafter referred to as "Claimant appeared pro se. Respondents INVEST Financial C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thf> Claimants Pase Number 02-00648 Ronald Lappe and Jean Lappe e nf tbp Pftsprmdents Hearing Site: Philadelphia, PA UBS Financial Services, Inc. f?k/a UBS PaineWebber, Inc. William B. Savino RFPPF.SFNTATTON OF PARTIES Claimants, Ronald Lappe and Jean Lappe, hereinafter collectively referred to as "Claimants", were represented by George L. Mahr, Esq.,