NASD DISPUTE RESOLUTION, INC. IN THE MATTER OF THE ARBITRATION BETWEEN: ) ) Case No.: 00-01480 FIRST UNION SECURITIES, INC., ) Claimant, ) v. ) HAROLD JASCHKE, ) Respondent. ) AWARD BY CONSENT REPRESENTATION For Claimant: Diane C. Fischer of Kane & Fischer, Ltd., Chicago, Illinois. For Respondent: Harold Jaschke CASE INFORMATION Statement of Claim filed on: April 6, 2000 Claimant's Submission Agreement signed on: March 6, 2000

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06810 Michael Parker Name of the Respondents Hearing Site: Chicago, Illinois Patterson Securities, Inc. Patterson Capital Markets, Ltd. Counterclaimant Patterson Capital Markets, Ltd. Counterrespondent Michael Parker NATURE OF THE DISPUTE Associated Person v. Member Firm and Non-Member Firm REPRESENTATION OF PARTIES St

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles L. McCubbins and June M. McCubbins, Claimants v. UBS Paine Webber, Inc. (n/k/a UBS Financial Services, Inc.), Respondent Case Number: 03-06806 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: William P. Torngren, Esq. Law Offices of William P. Torngren Sacramento, California For Respondent

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Honi G. Condiotty and Paul Condiotty, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Respondent Case Number: 03-06805 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Al Van Kampen, Esq. Rhode & Van Kampen, PLLC Seattle, Washington For Respondent: Curt

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank Y. Nishida and Michiko Nishida, Claimants v, Merrill Lynch, Pierce, Fenner & Smith Inc. and Ronald E. Scott, Respondents Case Number: 03-06804 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Jeff Dennis Ferentz, Esq. Law Offices of Jeff Dennis Ferentz, Inc. Newport Beach, Ca

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eric Davidson, Claimant v. UBS Financial Services Inc. f/k/a UBS PaineWebber Incorporated, Richard A. Sorenson, and David P. Jacobsen, Respondents UBS Financial Services Inc. f/k/a UBS PaineWebber Incorporated, Counter-Claimant v. Eric Davidson, Counter-Respondent Case Number: 03-06802 Hearing Site: Seattle, Washington Nature of the Dispute; Associated Person v. Member and Associate

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carol L. Woods and Carol L. Woods, IRA, Claimants v. Michael T. Woods and Mutual Service Corporation, Respondents Case Number: 03-06801 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Thomas H. Porter Law Offices of James Jay Seltzer Emeryville, California For Re

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Peter Maher Names of the Respondents Morgan Stanley Dean Witter, Inc. Timothy Pheifer Donald Horras Case Number: 03-06797 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Peter Maher, hereinafter referred to as "Claimant": Marc J. Ross, Esq. and Sameer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06795 R.N. McMillan Revocable Trust Names of the Respondents Hearing Site: Little Rock, Arkansas Ruth Huisman First National Bank of Springdale Nature of the Dispute: Customer vs. Associated Person and Non-Member. REPRESENTATION OF PARTIES For R.N. McMillan Revocable Trust, hereinafter referred to as "Claimant": Charles E. Davis, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeanenne Sumich, Claimant v. Patrick T. Drum and Morgan Stanley DW Inc., Respondents Case Number: 03-06794 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Bernard W. McNallen, Esq. Balsam McNallen LLP Tacoma, Washington For Respondents: Michael A. Nesteroff, Esq. Christopher B. Well