Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nicholas Prassas, Claimant v. SunAmerica Securities, Inc. and Pasquale Vitucci, Respondents Case Number: 01-05556 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: For Respondents/Counter-Claimants: Cliff Palefsky, Esq. Keith Ehrman, Esq. McGuinn, Hillsman & Palefsky San Francisco, California Louis H. Castoria, Esq

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Jovich and Linda Jovich, Claimants v. 1st Cleveland Securities Corp. d/b/a Next Advisors, Inc., 1st Cleveland Holdings, Inc., Wexford Clearing Services Corp., Lynne M. Thompson, George P. Bell, James F. Karfes, Gary W. Elsmore and John E. Hartman, Respondents Case Number: 01-05555 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Members,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Sigma Financial Corporation Name of Respondent Zachary H. Burton, III Case Number: 01-05554 (Consolidated with 01-05660) Hearing Site: Boca Raton, Florida In the Matter of the Arbitration Between: Name of Claimant Zachary H. Burton, III Names of Respondents American Investment Services, Inc., Sigma Financial Corporation, Stuart Chambe

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Dale D. Wlieeler V. 04-00395 Denver, Colorado Respondents Citigroup Global Markets. Inc., and Victor G. Dileo Nature of Dispute: Customer v. Member Firm and Associated Person Dale D. Wheeler ("Claimant") was represented by Chad P. Hemmat, Esq., Anderson, Hemmat & I-cvine, LLC, Denver, Colorado. Citigroup Global Markets, Tnc. ("Citigroup") and Victor

7 f , t Stipulated Award * NASD Dispute Resolution In the Matter ot the Arbitration between: Name of the Claimant Case Number: 01-05552 Juan Franco Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch Pierce Fenner & Smith, Inc. Samuel Moshe Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Juan Franco ("Franco"), hereinafter referred to as "Claimant": Darren C. Bl

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Virginia H. Burden and 01-05546 Dallas, Texas Name of Respondents Flex vest Securities Group, Inc. Robert M. Travis State Street Advisors, Inc. REI Management, Inc. Stewart H. McNairy REPRESENTATION OF PARTIES Virginia H. Burden ("Claimant") was represented by John E. Dees, Attorney at Law, Dallas, Texas. Flexvest Securities Group, Inc. ("

Award In the Matter of the Arbitration Between: Haimant ^a.re Nirnifor 01-05542 Mike A. Garcia Mam£-i>f th'r* Merrill Lynch, Pierce, Fenner & Smith, Inc., and William R. Casillas Hiring Sitft" Houston, Texas OF Claimant, Mike A. Garcia, hereinafter referred to as "Claimant": Dennis D. Heaiy Esq., and Randy Lee, Esq., of Lee & Healy, L.L.P., located in El Paso, Texas Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Merrill Lync

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-05540 Roger M. Halpin, Ruth Halpin and Lisa R. Halpin, claimants vs. Accutrade, Inc., respondent. ATTORNEYS: For Claimants appeared Emerson R. Marks, Esq., Charlottesville, VA. For Respondent appeared in-house counsel, James J. Vihstadt, Esq., Bellevue, NE. DATE FILED: October 17, 2001 CASE SUMMARY: Claimants alleged that respondent failed to inform them as to the correct number of

CASE: 00-01452 Christopher P. MacKay, Claimant vs. Kevin Blanch, Responds Respondent, Kevin Blanch, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: April 5, 2000 CASE SUMMARY; Claimant alleged that Respondent placed an unsolicited order for the purchase 3,200 shares of Corel (CORL) and has failed to pay for the purchase. Claim: $5,514.07 Award: $5,514.07 Punitive: $4,000.00 Punitive: $2,000.00 Interest: Unspecified Interest: at th

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-05539 H&R Block Financial Advisors, Inc., claimant vs. Opal Kohne, respondents. ATTORNEYS: For Claimant appeared in-house counsel, Kurt M. Miller, Esq., Detroit, ML For Respondent appeared Joseph W. Charles, Esq., Glendale, AZ. DATE FILED: October 17, 2001 CASE SUMMARY: Claimant alleged that respondent failed to deliver the "due bill" shares of 200 shares of Agilent Technologies an