NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-07153 UBS PaineWebber, Inc., claimant vs. Wayne VonFeldt, respondent. ATTORNEYS: Claimant appeared through, Romaine L. Gardner, Esq., Staten Island, NY. Respondent did respond to the Statement of Claim. DATE FILED: December 28, 2001 CASE SUMMARY: Claimant alleged that respondent purchased 41,800 shares of Local Financial Corporation. Claimant further alleged that respondent issued a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Larry Ramming, Case Number: Claimant and Counter-Respondent, vs. Prudential Securities Incorporated, Hearing Site: The Prudential Insurance Company of America, Prudential Capital and Investment Services, L.L.C., Vincent T. Pica and Howard House, Respondents and Counter-Claimants. 01-07152 Houston, Texas Claimant and Counter-Respondent Larry Ramming, hereinafter r

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-07151 Liz Jusman and Eddy Jusman Names of the Respondents Hearing Site: Boca Raton, Florida Prudential Securities, Inc. and Michael Newton REPRESENTATION OF PARTIES For Liz Jusman and Eddy Jusman, hereinafter collectively referred to as "Claimants": Melanie S. Cherdack, Esq., Genovese, Joblove & Bartista, P.A., Miami, Florida

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William A. Lamb And 01-07149 Phoenix, Arizona Name of Respondents UBS Financial Services Inc. f/k/a UBS PaineWebber, Inc. Charles W. Grier Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES William A. Lamb ("Claimant") was represented by Paul J. Roshka, Jr., Esq., Roshka Heymann & DeWulf, Phoenix, Arizona.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between James D. Schaubach Case No. 00-02392 Namfi nf T?p< ;nnnHpntg Anoput Phimmasone First Union Securities, Inc. Hearing Site- Norfolk, VA flf PPFSFNTATTON OF PARTIES Claimant, James D. Schaubach, hereinafter referred to as "Claimant": John S. Norris, Jr., Norris & St. Clair, P.C, Virginia Beach, VA. Respondents, Anoput Phimmasone and First Union Securities, Inc., her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Stellato (Claimant) v. Knight Equity Markets, L.P. f/k/a Knight Securities, L.P. and Kenneth Pasternak (Respondents) Case Number: 01-07138 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Robert Stellato ("Stellato") hereinafter referred to as "Claimant": Jeffrey L. Liddle, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-07137 John M. Marriott Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley DW, Inc. William Sid Sloan REPRESENTATION OF PARTIES For John M. Marriott, referred to as "Claimant": Mark A. Ossian, Esq., Park and Ossian, P.A., Clearwater, Florida. For Morgan Stanley DW, Inc. ("MSDW") and William Sid Sloan ("Sloan"), collec

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Brian D. Kxetsch and Susan J. Kretsch V. 01-07135 Minneapolis, Minnesota Respondents Royal Alliance Associates, Inc., Arnold D. Abens, Jr. and Abens Financial Services, Inc. REPRESENTATION OF PARTIES Brian D. Kretsch and Susan J. Kretsch ("Claimants") were represented by Michael S. MacDonald, Esq., of the Law Offices of Michael MacDonald, St. Paul, Minnesota

Stipulated Award NASD In the Matter of the Arbitration Between: Jeffery M. Leving, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Inc. and William R. White, Respondents. Arbitration Number: 01-07134 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant, Jeffery M. Leving ( "Mr. Leving"), was represented by Gregory A. Bedell, Esq., Two Bank One Plaza, 20 S. C]ark Street, Suite 2301, Chicago, Illinois 60603. Respondents, Merrill Ly

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Raymond James & Associates, Inc., (Claimant) vs. Dennis R. Banks, (Respondent) Case Number: 01-07133 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant Raymond James & Associates, Inc., hereinafter referred to as "Claimant": Rick A. Buchwalter, Esq., Vice President and Assistant Corporate Counsel, Raymond James & Associates, Inc., St. Petersburg, FL. Respondent Den