AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant The Estate of Ralph W. Mull and Case Number: 01-06858 Hearing Site: Omaha, Nebraska Names of Respondent Dominion Investor Services, Inc. ICM Financial Services, Inc., and Daniel D. Fencl REPRESENTATION OF PARTIES The Estate of Ralph W. Mull ("Claimant") was represented by Gail E, Boliver, Esq., Boliver Law Firm, Marshalltown, Iowa. Dominion In

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Pase Niimhfr- 01-06854 William W. Raymond ' Name nf the Respondents Hearing Site- Richmond, Virginia Josephthal & Co., Inc., and Alexander M. Shapiro REPRESENTATION OF PARTTRS Claimant William W. Raymond, hereinafter referred to as "Claimant", was represented by Tucker L. Henley, Esq., Blackburn, Conte, Schilling & Click, P.C., Richmond, Virginia. Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name r>fthe Claimants Case iSfnm her 01-6853 Frank and Barbara Eichman Name of the Respondents Rearing Site: Philadelphia, PA Dennis A. Cooke First Union Securities, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTTFS Claimants, Frank and Barbara Eichman, hereinafter collectively referred to as "Claimants", were represented by

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-06849 Chester D. Marks, IRA, claimant vs. Paul Lupo and Martin Mersky, respondents. ATTORNEYS: Claimant appeared pro se, Clayton, NJ. For Respondents appeared in-house counsel from Tucker Anthony Incorporated, Thomas A. Brady, Esq., Florham Park, NJ. DATE FILED: December 18, 2001 CASE SUMMARY: Claimant alleged that respondents failed to close out his accounts when he requested

Award NASD Dispute Resolution In the Matter of the Arbitration Between; >Jamp. nf fop Claimant f>ft< * Number- 00-02430 Coghill,LLC *"1aJTnant Hpprjng Sit^' Dallas, Texas Bear Stearns & Co., Inc. p! nf thp M. Douglas Adkins; H.T. Ardinger, Jr.; Dr. Carlo Jasbon; Swisscorp International Investments, Inc.; Gabriel MacEnroe; Commercial Capital Establishment; and Unicorn Asset Management PFPT?F,SKN TA T T01 V r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Behm, Claimant v. Harrison Securities, Inc., James A. Dvorznak, and Daniel Springate, Respondents Case Number: 01-06844 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v..Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Richard Behm In Propria Persona San Gabriel, California For Respondent Harrison Securities, Inc.: Fred

NASD Dispute Resolution Arbitration No. 01-06841 Award Page 1 of 6 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tucker Anthony Incorporated, (Claimant) vs. Matthew Hobika, (Respondent) Case Number: 01-06841 Hearing Site: Boston, MA. REPRESENTATION OF PARTIES Claimant, Tucker Anthony Incorporated, hereinafter referred to as "Claimant": Karl L. Marquardt, Esq., Bressler, Amery & Ross, Morristown, NJ. Respondent, Matt

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Earl Luick, (Claimant) vs. Joseph Dillon & Company, Inc., Steven Richard Jaloza, and Scott Andrew Gillette, (Respondents) Case Number: 01-06839 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Earl Luick, hereinafter referred to as "Claimant": Robert Bertsch, Esq., Bertsch & Associates, Port Washington, NY. Respondents, Joseph Dillon & Company, Inc. ("Dillon"

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Edward A. Sasso Names of the Respondents A.G. Edwards & Sons, Inc. and Sean Quinn Case Number: 01-06837 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Edward A. Sasso, hereinafter referred to as "Claimant": Russell C. Silverglate, Esq. and Robert H. Rex, Esq., Dickenson, Murphy, Rex and Sloan, Boca Raton, Florida.

' Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-06835 Cindy D. Shoffner Names of the Respondents Hearing Site: Atlanta, Georgia Raymond James & Associates, Inc. Frank N. Gibson, Jr. REPRESENTATION OF PARTIES For Cindy D. Shoffner, hereinafter referred to as "Claimant": J. Pat Sadler, Esq., Sadler & Hovdesven, P.C., Atlanta, Georgia. For Raymond James & Associates, Inc. ("Raymond