Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Names of Claimants Angelo Archible and Jean Archible, JTWROS, Priority Client CMA Account Lucy P. Andrews, Priority Client CMA Account Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Stuart Hall Case Number: 02-00505 Hearing Site: New Orleans, LA REPRESENTATION OF PARTIES For Angelo Archible and Jean Archible, JTWROS, Priority Client CMA Account

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimants James A. Malecky and Carol A. Malecky Name of the Respondents Merrill Lynch Pierce Fenner & Smith, Inc., John VerBockel, and Maureen Raihle Case Number: 02-00503 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimants James A. Malecky and Carol A. Malecky ("Malecky") hereinafter collectively referred to as "Claimants": Richard

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Sharon Knecht and 02-00502 Phoenix, Arizona Name of Respondent PaineWebber, Inc. n/k/a UBS Financial Services Inc. REPRESENTATION OF PARTIES Sharon Knecht ("Claimant") was represented by Kevin M. Kinne, Esq., Cain Hibbard Myers & Cook, Pittsfield, Massachusetts and Daniel R. Solin, Esq., Pittsfield, Massachusetts, PaineWebber, Inc. n/k/a UBS Financial

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimant Case Number: 02-00501 John D. Berthoud Hearing Site: Chicago, Illinois v. Respondents H. Beck, Inc. and Randall J. Veselik Counterclaimant H. Beck, Inc. v. Counterrespondent John D. Berthoud Cross-Claimant H. Beck Inc. v. Cross-Respondent Randall J. Veselik Third-Party Claimant H. Beck Inc. v. Third-Party Respondent

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Libardo J. Taboada Names of Respondents Case Number: 02-00500 Hearing Site: Houston, Texas Citigroup Global Markets, Inc. Michael M. Busier Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Libardo J. Taboada ("Claimant") was represented by Phillip W. Offill, Jr., Esq., of Godwin Gruber in Houston, Texas. Citigroup Global

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Craig A. O'Rourke, Claimant v. A.G. Edwards & Sons, Inc. and William Baylin, Jr., Respondents Case Number: 02-00492 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Douglas J. Rovens, Esq. Steven A. Lamb, Esq. Rovens Lamb LLP Los Angeles, California For Respondents: Daryl S. Landy, Esq. Harold R. Jones, Esq. Steefel, Levitt & Weiss Sa

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 02-00491 Robert E. Pellegrine Linda E. Pellegrine Name nf the Respondents Hearing Site: Philadelphia, PA American Express Financial Advisors, Inc. Gerald A. Camera RFPRF.SFNTATTON OF PARTTFS Claimants, Robert E. Pellegrine and Linda E. Pellegrine, hereinafter collectively referred to as "Claimants", were represented by Nichol

Award NASD Dispute Resolution In the Matter of the Arbitration Between: pf the ri^rp^ts Pase Nn m bf>r 02-00490 E. Marshall Goldberg E. Marshall Goldberg, M.D., P.C. Bart S. Kaplow Capital Strategies Limited Hearing ^1*^' Philadelphia, PA Off Claimants, E. Marshall Goldberg and E. Marshall Goldberg, M.D., P.C., hereinafter collectively referred to as "Claimants", were represented by Nicholas J. Guiliano, Esq., Attorney at Law, Ph

Award 1 NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Names of the Claimants Case Number: 00-02446 Gualterio and Francisca Bartholomai, Miguel Basile, Juana De Muzio, Susana Lia Castelluccio, Luis Alberto Ramponi, Daniel Norberto Ceirano, Lucy Edith Hochraich, Marcelo Schneider, Silvia Patricia Schneider, Estela Beatriz Jajam, Ana F. Silbering, Justo Santiago Perez, Maria Cristina Gatti De Perez, Anabel Maria Ponte,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hai'mant rwNnmher- 02-00487 Bernadette M. Provenza n f thft Rfspo nr i p nts Hiring Sit ft> Baltimore, MD Merrill Lynch, Pierce, & Fenner, Inc. John F, Macielag n Claimant, Bernadette M. Provenza ("Provenza"), hereinafter referred to as "Claimant" was represented by John H. West, Esq. and Thomas C. Costello, Esq., West & Moore, LLC, Baltimore,