NASD REGULATION, INC. SUPPLEMENTAL AWARD In the Matter of the Arbitration Between PAINEWEBBER INCORPORATED v. DANIEL LEVIN, THOMAS HUGHES AND PRUDENTIAL SECURITIES, INC. NASD No. 00-01457 REPRESENTATION OF PARTIES Claimant Paine Webber Incorporated ("Paine Webber") was represented by Michael F. Braun, Esq. and Ernest W. Irons, Esq. of Schuyler Roche & Zwirner, P.C., located in Chicago, Illinois, and Michael G. Oddo, Esq. of Henry Oddo Austin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Constantino, Individually and as Beneficiary of David Constantine IRA, Terry Constantine, Individually and as Beneficiary of Terry Constantine IRA, and as Custodian for Sarah Constantine and Charles Constantine, minors, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Marc Stuart Cohen, and Darryl Matthew Cohen, Respondents Case Number: 01-05581 Hearing Site: Los A

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Theresa B. Bradley Case No. 00-03981 Ijearing Site: Boca Raton, Florida First Union Brokerage Services, Inc. First Union Bank r ATION OF PARTIES Claimant Theresa B. Bradley ("Bradley") appeared pro se. For First Union Brokerage Services, Inc. ("FUBS"), bereioafter referred to as "Respondem* Brian A. Carlis, Stark & Stark, LawrenceviUe, New Jersey.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edmund P. Graczyk, Claimant v. Wells Fargo Bank N. A., Wells Fargo Investments, LLC, Terrence E. Burns, Paula E. Sheehan, and Wells Fargo Securities, Inc., Respondents Case Number: 01-05579 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimant: Jacob H. Zamansky, Esq. Zamansky & Associates New York, New Ycirk For Respondents: Michael D. Early, E

STIPULATED AWARD NASD Dispute Resolution, Inc. In die Matter of the Ari>itration Between Steven and Robin Chess Names of Ree Charies Schwab & Company, Inc. Brian Patrick Terry Case No. 00-03964 Siie:Boca Raton, Florida REPRE! For Steven and Robin Chess ("Chess"), heteuiafter collectively referred to as "Claimants" Darren C. Blum. Esq., Law Offices of Darren C. Blum, Plantation, Florida* For Charies Schwab & Conq)any, Inc. ("Schwab") and Brian

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rudolf V. Isch, Claimant v. Charles Schwab & Company, Inc., Respondent Charles Schwab & Company, Inc. .Third-Party Claimant v. Ronald G. Hill, Third-Party Respondent Case Number: 01-05576 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: George S. Trevor, Esq. Law Offices of George S. Trevor Corte Madera, California For Respondent Charles S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald J. Leonhardt, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Gregory R. Linsz, (Respondents) Case Number: 01-05573 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant Ronald J. Leonhardt, hereinafter referred to as "Claimant": Frank J. Witschey, Esq., Witschey and Witschey Co., LPA, Akron, OH. Respondents Merrill Lynch, Pierce, Fenner & Smith,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant H & R Block Financial Advisors and 01-05572 Phoenix, Arizona Name of Respondent Jon Eric Benton REPRESENTATION OF PARTIES H & R Block Financial Advisors ("Claimant") was represented by Kurt M. Miller, Esq. And Howard M. Klausmeier, Esq., H & R Block Financial Advisors, Detroit, Michigan. Jon Eric Benton ("Respondent") appeared pro se. CASE INFORMA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Robert Z. Storm, as Executor for the Estate of Evelyn F. Storm Name of the Respondents Edward D. Jones & Co. and John C. Dye Case Number: 01-05571 Hearing Site: Indianapolis, Indiana NATURE OF DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Emerson R. Marks, Jr. Esq. of Charlottesville, Virginia represente

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Geri Bauer, (Claimant) vs. Advest, Inc., Aaron Dirusso, James E. Moynihan, Jr., and Kevin Crovo, (Respondents) Case Number: 01-05570 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Geri Bauer, hereinafter referred to as "Claimant": David S. Pegno, Esq., Dewey Pegno & Kramarsky LLP, New York, NY. Respondents, Advest, Inc. ("Advest"), Aaron Dirusso ("Dirusso")