I,' AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Donald Lamb and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Thomas Wayne Dunn and Christel Kuberg Dunn Case Number: 03-06679 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Donald Lamb ("Claimant") was represented by Robert L. Rolnick, Esq.,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant The Estate of Joseph Latimer, Jr. Case No. 00-01470 Hearing Situs: Boca Raton, Florida Names of Respondents Edgar B. Alacan Emanuele Anthony Scarso J.W. Barclay & Co., Inc. REPRESENTATION OF PARTIES For The Estate of Joseph Latimer, Jr., hereinafter also referred to as Claimant: Adam M. Moskowitz, Esq. of Kozyak Tropin & Trockmorton, P.A., M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant UBS Financial Services, Inc. Name of the Respondent Patrick Egan Case Number: 03-06678 Hearing Site: Chicago, Illinois NATURE OF THE DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Brent A. Burns, Esq., of the firm Davidson, Manchel & Brennari, LLP, located in Northvale, New Jersey represented Claimants UBS Financial Servic

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Theodore Konuszy Names of the Respondents Salomon Smith Barney, Inc., a division of Citigroup Global Markets, Inc. Michael Lukas Case Number: 03-06674 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Theodore Konuszy, hereinafter referred to as "Claima

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Alan Sara Caroline Sara Alan Sara, as custodian for Simon Sara, UGMA FL Names of the Respondents Prudential Equity Group, LLC, f/k/a Prudential Securities Incorporated Daniel Pye Case Number: 03-06672 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06671 John T. White Names of the Respondents Hearing Site: Atlanta, Georgia Prudential Securities L. Clay Wheeler, Jr. Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For John T. White, hereinafter referred to as "Claimant": Andrew W. Bolt, II, Esq., Bolt Law Offices, P.C., Birmingham, Alabam

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Marcelle Gold Names of the Respondents Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. and Allan Vinebers Case Number: 03-06669 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Marcelle Gold, hereinafter referred to as "Claimant": John T. Ge

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Noorzahan Aditya and Mukul K. Aditya, (Claimants) v. UBS PaineWebber, Inc. n/k/a UBS Financial Services Inc., Firhan (John) Choudhary and John Pergolizzi, (Respondents) Case Number: 03-06666 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants, Noorzahan Aditya and Mukul K. Aditya (the

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fred Kaplan SSB IRA Custodian and Arlene and Fred Kaplan JTWROS (Claimants) v. Prudential Equity Group, LLC #k/a Prudential Securities, Inc. and Paul Merenbloom (Respondents) Case Number: 03-06665 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Fred Kaplan SSB IRA Custodian ("F. Kaplan IRA")

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jonathan M. Weisberg, Pamela Crowe Weisberg, and Pamela Crowe Weisberg, Trustee for the Profit Sharing Plan for the benefit of Pamela Crowe Weisberg (Claimants) v. RBC Dam Rauscher, Inc. and John W. Claghorn, III (Respondents) Case Number: 03-06663 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claima