Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ralph Sorrentino (Claimant) vs. Michael Weinman and UBS Paine Webber (Respondents) Case Number: 03-07225 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant Ralph Sorrentino hereinafter referred to as "Claimant": Jay M. Coggan, Esq., Jay M. Coggan & Associates, Los Angeles, CA. Previously represented by

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07224 Track Data Securities Corporation, Claimant v. Jeffrey G. Whitson, Respondent. ATTORNEYS: Claimant, Track Data Securities Corporation, ("Claimant"), appeared through their Director of Compliance, Marshall Baron, Brooklyn, NY. Respondent, Jeffrey G. Whitson, ("Respondent"), did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Customer DATE FILED: October 6, 2003

Award NASD Dispute Resolution In the Matter of the Arbitration Between: A. Jefifrey Gordon and Gordon Insurance & Financial Services, Claimants v. First Allmerica Financial Life Insurance Company, Allmerica Financial Life Insurance and Annuity Company, and Allmerica Investments, Inc., Respondents Case Number: 98-02949 Hearing Site: Los Angeles, Califomia REPRESENTATION OF PARTIES For Claimants: Michael R. Mitchell, Esq. Woodland Hills, Califomia

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: James L. Gowdy, Claimant v. Gail Gordon Kocen, Bryan S. Kocen, Jo Ann Kocen, Joel E. Kocen, Kocen Financial Group, Inc., Financial Goal Achievement Associates, Financial Goal Securities, Inc., and Stanley D. Kiefer, Respondents Case Number: 03-07213 Hearing She: Los Angeles, California Nature of the Dispute: Customer v. Member, Associated Persons, Non-Members, and Non-As

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James L. Gowdy, Claimant v. Gail Gordon Kocen, Bryan S. Kocen, Jo Ann Kocen, Joel E. Kocen, Kocen Financial Group, Inc., Financial Goal Achievement Associates, Financial Goal Securities., Inc., and Stanley D. Kiefer, Respondents Case Number: 03-07213 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member, Associated Persons, Non-Members, and Non-Associat

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between JENNIFER JOSEPHS. Claimant V. NASD No. 93-4894 DAIN BOSWORTH, INC. and GARREN SEPEDE Respondents Representatiott For Claimant: Steven Grossman, Esq. of Investors Arbitration Services, Inc., Woodland Hills, Califomia For Respondent: Stacey Ganett, Esq. of Keesal, Young & Logan, Long Beach. Califomia Case Information Statement of Claim filed: N

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In ttte Matter of the Arbitration Between | Patricia Munaicash (aka Blake) Claimant ) ) vs. , I AMARO Allied Capital Group, Inc., Respondents ) CASE NO. 89-01495 Patti Cooper, and John Ellis ) Members of the Arbitration Panel: SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on May 19, 1989. Claimant alleged that Respondents placed

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward J. Sheehan, Individually and on behalf of the Edward J. Sheehan Trust, Claimant v. Smith, Brown & Groover, Inc. and Raymond H. Smith, Jr., Respondents Case Number: 03-07206 Hearing Site: Honolulu, Hawaii Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Kirk G. Smith, Esq. Shepherd, Smith & Edwards, LLP

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Mitchell Ceasar Jenny M. Ceasar Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Roy Savarick Savarick Investment Group Case Number: 03-07203 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member. For Mitchell Ceasar ("M. Ceasar")

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Ronald and Donna Molloy, Claimants vs. Sherman Jason Niamehr, Respondent Case Number: 03-07192 Situs: Cincinnati, Ohio Customer vs. Associated Person REPRESENTATION OF PARTIES Ronald and Donna Molloy, hereinafter referred to as "Claimants": Joseph Dehner, Esq., Frost Brown Todd L.L.P., Cincinnati, Ohio. Respondent did not enter an appearance in this matter. DATE FILED: April