Award NASD Dispute Resolution In the Matter of the Arbitration Between: Judith L. Crawford, Claimant v. U.S. Bancorp Investment, Inc., Respondent Case Number: 01-06008 Hearing Site: Seattle, Washingtpn For Claimant: Smith For Respondent: Ralph R. Smith, Esq. Law Offices of Ralph R. Olympia, Washington Thomas P. Swigert, Esq. Dorsey & Whitney LLP Minneapolis, Minnesota CASE INFORMATION Statement of Claim filed: November 11

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mehdi BabaofiE, Claimant v. Newpoint Securities, LLC, Respondent Case Number: 01-06006 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: David Harrison, Esq. Spivak & Harrison Los Angeles, California For Respondent: Steven L. Miller, Esq. Attorney At Law Woodland Hills, California CA

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Stewart D. Zuckerman and PatriciaB. Zuckerman, JTWROS Names of the Respondents James J. Panenka Daniel A. Duhig First Union Securities Case Number: 01-06003 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Stewart D. Zuckerman ("S. Zuckerman") and Patricia B. Zuckerman ("P. Zuckerman"), JTWROS, hereinafter coll

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-06001 Investec Ernst & Company, claimant vs. Jeffrey Atamanuk, respondent. ATTORNEYS: For Claimant appeared Michael S. Colombo, President, Streetwide Asset Recovery Group, Inc. Respondent did not respond to the Statement of Claim. DATE FILED: November 8, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay a loan upon termination of his employment. Claimant maintaine

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08141 * „, • •-*-•, Royal Alliance Associates, Inc., Claimant v. Robert S. Burakoff, Respondent. ATTORNEYS: For Claimant, Royal Alliance Associates, Inc., ("Claimant"), appeared their in-house counsel, Gregory M. Curley, Esq., New York, NY. Respondent, Robert S. Burakoff,("Respondent"), did not submit a response to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated P

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08138 Pritchard Capital Partners, LLC, Claimant vs. William Herbert Bauch, Respondent ATTORNEYS: For Claimant Pritchard Capital Partners, LLC ("Claimant") appeared Thomas W. Pritchard, Managing Director, Pritchard Capital Partners, LLC, Mandeville, LA. Previously represented by: Thomas K. Potter, III, Esq., of the firm Jones, Walker, Waechter, Poitevent, Carrere & DeNegre, L.L.P., New Orlean

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Beverly Thorne Name of the Respondents A.G. Edwards & Sons, Inc., and David J. Wozniak Case Number: 03-08134 Hearing Site: Chicago, Illinois NATURE OF THE DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Donald M. Thompson, Esq., with Law Offices located in Chicago, Illinois, represented Claimant Beverly Tho

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James P. Drafts, III, Claimant v. Peter David Downey, Paul Steven Medaglia, Ruis Reis Figueiredo, John Thomas Pisapia, William Leo Vecchione, Paul Wiley, Jr., Marc Steven Kimmel and Royal Hutton Securities Corp., Respondents Case No.: 00-01617 Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES James P. Drafts, III ("Claimant") Peter David Downey

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name SII Investments, Inc. Case No. 00-001 83 Timothy C. Cerny; and Michael P. O'Malley REPRESENTATION Off Claimant SII Investments, Inc. ("SII") was represented by Phillip C. Korovesis, Esq. of Butzel Long, P.C., located in Detroit, Michigan. Respondent Timothy C. Cerny ("Cerny") was represented by Eric Olson, Esq. of Olson & Olson, located in Kenosha, Wisconsi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-08127 Shelley Jean Wood Shelley Jean Wood IRA Names of the Respondents Hearing Site: Boca Raton, Florida Salomon Smith Barney, Inc. William F. Dodge Howard Guggenheim Paul Abrams Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Shelley Jean Wood and Shelley Jean Wood