NYSE New York Stock Exchange .n the Matter of Arbitration Between Case: Frank p. Gregory, Jr. v. Salomon Smith Barney, Glaus C. Foarster & Jamas Foley Attorneys; For Claimants): Kenneth F. Berg Esq. - Chicago, IL For Raspondent(s): Vtotor Machinski Esq. - New York, NY Date Filed: OV13/2001 First Scheduled: 07^3/2002 Decided: S^As /o 3 Case Summary: claimant alleges that the registered representative engaged In churning and unauthorize

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimant John Lawrence Netherland, James Dale Netherland i fc and i Names of Respondents Peter Gianoukas and Doris Gianoukas Case Number: 03-06634 Hearing Site: Dallas, Texas NATURE OF CASE 1 t ' Associated Persons v. Customers < REPRESENTATION OF PARTIES Claimants John Lawrence Netherland and James Dale Netherland ("Claiman

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Antonia Huddleston & Mary Saban JTWROS, Drs. Webber & Canepa FBO T. Huddleston, and Antonia M. Huddleston, Claimants v. UBS Financial Services Inc. f.k.a. UBS Paine Webber, Inc., Antonel Urdes, and Richard A. Sorenson, Respondents Case Number: 03-06632 Hearing Site: Portland, Oregon Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIE

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan Kepling, Robert Kepling, and Robert Kepling IRA (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Eric Bartok (Respondents) Case Number: 03-06629 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Susan Kepling ("S. Kepling"), Robert Kepling ("R. Kepling"), and Robert Kepli

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06626 Wachovia Securities, LLC, Claimant v. Darrick Habeeb, Respondent. ATTORNEYS: For Claimant, Wachovia Securities, LLC, ("Claimant"), appeared Renan I. Sugarman, Esq., Attorney at Law, Chicago, IL. For Respondent, Darrick Habeeb, ("Respondent"), appeared Gerald A. Berk, Esq., of Steuer, Escovar, Berk & Brown Co., L.P.A., Cleveland, OH. NATURE OF DISPUTE: Member v. Associated Person

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06621 Dean R. Nowak Name of the Respondent Hearing Site: Tampa, Florida Signator Investors, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Dean R. Nowak, hereinafter referred to as "Claimant": Elihu H. Berman, Esq. and Bruce Robbins, Esq., Elihu H. Herman, P.A., Clearwater, Florida. For Signato

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06618 Abraham and Phyllis Smilove Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley f/k/a Morgan Stanley DW, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Arbraham and Phyllis Smilove, hereinafter collectively referred to as "Claimants": Darren C. Blum, Esq., Scott L. Silver, Esq.,

Stipulated Award NASD Dispute ResoluUon In the Matter of tbe Arbitration Between: Harnid K. Affleck, (Claimam) vs. American Investnicni Services, Inc., Andrc Philip Oiang. Lisa Strong, Hank Werner. William Glenn Robbins. and AISCO Holdings. Ltd. (Respondents) Cuse Number: 98-00692 Hearina Site. Nevk' York, New York REPRESENTATION OF PARTIES Claimant, Harold R. Affleck, hereinafter referred to as "Claimant": Pcier A. Renz, (isq.. Appjcgjte. Quinn & Magee.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06617 Roberta E. Leggitt Names of the Respondents Hearing; Site: Atlanta, Georgia Merrill Lynch, Pierce, Fenner & Smith, Inc. James K. Harper, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Roberta E. Leggitt, hereinafter referred to as "Claimant": F. Wade McKinney, Esq., Nashvi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard L. Tumminia and Barbara Jean Tumminia, (Claimants) vs. Maroun D. Mansour, Roman Sakh a/k/a Roman Sakharowich, Jean O. Brutus, Foster J. Gibbons, Alexander Bienenstock, Kenneth Lauher, Tomer Yuzary, Earl John Swan, III, Richard Orkin Freedman, George Danas, Andrew Reegan, Aaron Bronstein, Golden Lender Financial Group, Inc., and J.P. Gibbons & Co., Inc., (Respondents) C