Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Bernard Friedman 01-06294 Name nf the. Respondents Charles Schwab & Co., Inc. Jerry Wojt Hearing Site.: Philadelphia, PA REPRESENTATION OF PARTIES Claimant Bernard Friedman, hereinafter referred to as "Claimant", was represented by Johanna E. Markind, Esq., Law Offices of Daniel B. Markind, Philadelphia, Pennsylvania. Respondents C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gary D. Gentzkow, M.D., Barbara A. Banko, and Barbara A. Banko Trustee for the Edward John Banko, Jr. & Barbara Ann Banko Family Trust, Claimants v. Prudential Securities, Inc. and Thomas Banks, Respondents Case Number: 01-06293 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: James C. Krause, Esq. Law Offices of Krause & Kaliayan San Diego, C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ' 01-06292 UBS/Paine Webber Incorporated n/k/a UBS Financial Services, Inc. nfthft T?pgpr«vW ffpflrmg Rite- Washington, DC Brett Amendola Claimant, UBS/Paine Webber, Inc. ("Claimant"), was represented by William M. Furr, Esq., Wilcox & Savage, Norfolk, Virginia, Respondent, Brett Amendola ("Respondent"), was represented by John Connolly, Esq. of the Law Offices of John P

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Fiserv Securities, Inc., a wholly-owned subsidiary of Fiserv Clearing, Inc., a wholly- owned subsidiary of Fiserv, Inc. Names of the Respondents Case Number: 01-06290 Hearing Site: Boca Raton, Florida SAL Financial Services, Inc., a wholly- owned subsidiary of Sterne Agee & Leach Group, Inc., William Dennis Ferguson and Don Exner For Fiserv Secur

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between 1 Anthony and Marguerite Divergelio, Individually and as trustees of the Anthony Divergelio Living Trust and Marguerite Divergelio Living Trust Claimants, and Case Number: 01-06283 Hearing Site: Southfield, Michigan Primevest Financial Services, Inc., Philip Ruggeri and Gary Moy Respondents. NATURE OF DISPUTE Customers v. Member and Associated P

02/14/2005 1T:28 FAX •*.L^'< _JI_«LJ.ll_IIJ,_l NASD PAGE 0; SOOS/DC? Award In the Maflser of the Arbitration Between: Gary A. Sebbert J*Jflme nf tfae^Respcmderrta/Coitrtter Aid Association, fa Lutherans, oa successor to Luftwran BrofecAood Securitiea, Corp., «od TomKopatz Caae dumber: 01-06282 : Kansas City, Missouri respondent Gay A, Sebbert (Sebbert) ^ae/iro se. Respopdenta/Connter clirfmnntTT) Aid Aagrtdation fof Lntben

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Rhoda E. McCoach, Trustee, and individually Names of the Respondents Salomon Smith Barney, Inc., Gita Steinman and Howard Steinman Case Number: 01-06278 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Rhoda E. McCoach, Trustee, and individually, hereinafter referred to as "Claimant": Mean Rothman Tell, Esq., Ft. Lauderdale, Florid

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-06276 Russ Jacob Post, individually and on behalf of any and all IRA accounts Name of the Respondent Hearing Site: Tampa, FL UBS Painewebber, Inc. REPRESENTATION OF PARTIES For Russ Jacob Post, individually and on behalf of any and all IRA accounts, hereinafter referred to as "Claimant": Neal J. Blaher, Esq., Orlando, FL. For UBS Painewebber, Inc. ("UBS

Award NASD In the Matter of the Arbitration Between: Names of Claimants Case Number: 01-06275 Stephen J. Molloy Barbara A. Molloy Stephen and Barbara Molloy Name of Respondent Hearing Site: Orlando, Florida Bane of America Investment Services, Inc. REPRESENTATION OF PARTIES For Stephen J. Molloy, Barbara A. Molloy, and Stephen and Barbara Molloy ("Claimants"): Neal J. Blaher, Esq., Law Office of Neal J. Blaher, Orlando, Florida. For Bane

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Larry Serrin, Claimant v. Waterhouse Securities, Inc. n/k/a TD Waterhouse Investor Services, Inc. and Mike Brittain, Respondents Case Number: 01-06268 Hearing Site: Seattle, Washington I. REPRESENTATJ ON OF PARTIES For Claimants: For Respondent Waterhouse Securities, Inc. David Leen, Esq. David Leen & Associates, PLLC Seattle, Washington David B. Starks, Esq.