StiPPLK.MKMAI.AWARr) NASD Oisputr Resulutinn. Inc. In tlw Matte: of ihc Arhuiatioti Between: Chnstophcr T. anJ Anna .Miirij Ki«nisr-.i. W:|l:am Jo-.cph Ku^ach. P.iirc and .Marparcr Sleelharnmfr Rtvocal-U: Livinj; Trusr. U'.t>ry.: An/. Ruheri Spi[zk.i. iind Ti. Pju! jansst-n. Claimants \s V-cror Ming Wani;. DMU- A Comiwn>. 1:;^: Jcffiey Si-.".f H.>nini.:tr>. Cn--^^ .\t\»n Thaler. Wan^. I-amily Tn:S\. John Kurvtc;. f'aul Owens, jka Pajl ("(>r:'.i;:n(in!!u n.inife

AWAKD NASD REGULATION- INC, OFFICE OF DISPUTE RESOLUTION In ibe matter of the Arbitration Between Thomas L. Wentger V. Name of Respondent The Prudential Insurance Company of America. James Novack. Gary Budish. James B. Dinges, Jeffrey R. Domenick, Arbiiraiion No. 94-03099 For Claimant: For Re.< ipondents: "WBFfBP^^Tin^ William Rchwald, Esq. Rehwald Ratneson Lewis & Glasncr Woodland Hills, California Kenwood C. Youmans,

STIPULATED AWARD NASD R["f^ULAT!ON, INC., OFFICE OF DISPUTE RESOl IJTION •:i the Matter of the ArbitrHtion 3ctWKen Name of Ckninant Edward P. Mjrphy, Jr. 97-03035 ^alne of Respondents First c* Annorica Securities, Inc.; Susan Currier HLPPESENTATIQM TOT Clnimant: Marr. D. Slioiman of Marc D. Shernion, P.C, 7337 North Lincoln Ave. -283, Lncolnwood, l.'lir.ois 6C646 f-cr Rosp(. ndent: Ljwrftni.u MurO'iy of Mcwa'd and Howard, Tho KnianiHzuo

VASD REGI-r-.'MION'. INC AWARD NASI) Kcgnlation, Inc. Case No. In i:ic Milt'.er of the Aibitraiion BefAcen Name_nl CJainiant John YciniJiii NJ:IJS •if Ki-'^pr.r.'l^riT .S}:e.irv.i-. I.t-hnun HR':llrt[^. Tiu. ''••h:i Ye[::i:ii! '"(.'Iiiii:!?.:!:"! wii-i ie;"r';.*-:^T.;Ai 'y. Danie! .A. ba'.l an-", pji^n.: A. Kcss'.e: nf ihc li"w li:iri ol" k'::p-ji.Jci.t Sh^ur.'^*.:! L-jK:n.-;: Broiiicis. !:K (new ;i;i::i'.-i i.^: Sjiioi:--.:: .'•r',i:h iJar:iL-y

II.X,S.D. JWUED ^JOOIOKM Asaoaxnax cr amaaTua CEUAS la tbs Mttar of tba Aibltzatleo moB^^^Jnant^ JCBI V. & CBABLCmB AVAZIMir; HKSL V. BNaoH, l^cuatattf Ono J. BKSr aad BMIBMtA S. BMBT; PCnOlP B. BQO/ Ttuot—> RMJH L. ^CT and EBTir BDOCf NKilSR L. (SMIBWTAIH sod JlIWi CSMSBBOAIH, TkUOtMO; E»DL D. OOgattH, Tru5t«ai MM3f l a OOag, Ttuatooi OORR CEBOS and HKCa7 S, CXKB, TrutttBtBi BDOSICX acim and CZiZTICK It.aCTZB, IfeuatAOOf nSL

New York Slock Kxduinge In the Matter of ArbltratioD Between NYSE ClSO^ Rohart L< Qunakot via PwiWNbew. no. and Jaal ROBOMI Attemyg; Mr CSMmnili^: Refaart L Oumkan - BrWK. NY FsrnavandMM: Bdwartf P. DaBM*afd E^. - WaalNarfian, NJ Oaitt FIM: lamM Rnt Scheduled: o«i4m Decided: 04n4»i CaiO SunHnary: OuMamar m llanbw F%m and RaglUarad Rip aaqtag nSnpraaiMt^ andunnStabny. Product: Mur FUND MarfietiNvaE ClahiOMi Claim: Uv

Avrard NASP RcgnhrtiflB, 6K. In the Matter of the Aibitiation Between WUUam J. n*noimeU U/A Trust DTD 11/24/92 Tnist, By William J. O'Donnell. Tnutee ^mt irf Pmrtfrnfl ^ Thtrf Pnnv ^iimirn NASDCa«Nft.: 9^05025 Hearing Locarifl^: Pittsburgh, PA D.H. Blair & Compaay NameofThiniPitvlteaxMident William J. O'Donnell P^gTIfBTTftT"^ OF PARTIES Claimant William J. O'Donnell U/A Trust DTD 11/24/92 Tkust by Tmitee WUliam J. O'Donnell ('Claimani'')

Award NASD Dispute Resolution In the Matter of the Arbitration Between: r]a-jmar|tg Pa^f* Mil rn her- 01-05831 Barbara J. Sheffer Figlock and Bernard F. Figlock Merrill Lynch Pierce Fenner & Smith Inc Barry M. Barbush HP a ring-Site: Philadelphia, PA Claimants, Barbara J. Sheffer Figlock and Bernard F. Figlock, hereinafter collectively referred to as "Claimants", were represented by Joseph C. Korsak, Esq., Attorney at Law, York, Pennsylvania

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-05830 Fred D. Clark, Jr., claimant vs. Morgan Stanley Dean Witter, Inc., respondent. ATTORNEYS: Claimant appeared pro se, Jackson, MS. For Respondent appeared in-house counsel, Keith Guilfoyle, Esq., New York, NY. DATE FILED: October 30, 2001 CASE SUMMARY: Claimant alleged that respondent authorized claimant's Active Asset Account to be revoked without warrant or notification. Claim

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Richard Henderson and Carissa B. Karol-Chik, Personal Representatives of the Estate of GoJdie R. Barker, deceased Case No. 00-01428 Everen Securities, Inc. n/k/a First Union Securities, Inc. Site: Oklahoma City, Oklahoma. Claimants, Richard Henderson and Carissa B. Karol-Chik, Personal Representatives of the Estate of Goldie R. Barker, deceased, were represented by