NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-02069 Olde Discount Corporation, claimant vs. Richard A. Petrulis, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Aaron L. Kleid, Esq., Detroit, ML Respondent did not respond to die Statement of Claim. DATE FILED: May 4, 1999 CASE SUMMARY: Claimant alleged that respondent failed to remit payment of a debit balance in respondent's account. Claim Data Award Data

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Everen Securities, Inc., (Claimant) vs. Leonard Mauck (Respondent). Case Number: 99-03884 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, First Union Securities Inc. (f/k/a/ Everen Securities, Inc.) ("Claimant"): Diane C. Fischer, Esq.; Kane & Fischer, Ltd.; located in Chicago, Illinois. Respondent, Leonard Mauck ("Respondent^: Jacob Ginsberg, Esq.; GInberg &

Award NASD Dispute Resolutlon» Inc. in the Matter of the Artiitration Between: Draco Investment Group, Inc., Claimant v. Web Street Securities, Inc., Respondent Case Number 99-03036 Arbitration Site: Los Aneeles. California BErMgEWTATTQW OF fARITB^ ForGaimant: Paul W. Thomas, Esq. Paul W. Hiomas & Associates Carlsbad, California For Respondent: Stuan M. Richter, Esq., Eric Menyuk, Esq. Katten Muchin & Zavis Los Angeles, California

Award NASD Dispute Resdution, Inc. In the Matter of the Arbitration Between: Williamson Holdings Corp. and Jeffrey C. Tweedy, (Claimants) vs. Donald Hunter and Sandgrain Securities. Inc., (Respondents) Case Number: 99-02443 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Williamson Holdings Corp. (**Williamson") and Jeffrey C. Tweedy ("Tweedy"), hereinafter collectively referred to as "Claimants": Alfred Fferrer, III, Esq., Eaton &

AWARD NASB R«sn1atioiiv lae. In the Matter of Ihe Aibitration Between Kmne of Claimant Eleanor M. Tortora and 99-0388$ Scotlsdale, Axixona SaUrnion Smith Barney BBrRESBwrATiow ftr rsKsm Hleanor M. Tortoia ("Claimant") was igpiescnied by Paul A. Conoztf, Esq., Galbut and Conant, Phoenix, Arizona. Salomon Smith Barney ("Respondent") was repiesented by H. Nicliolas Beri)erian, Gsq^ Neat. Gieenbuig & HiscnberB. Chicago, Illinois. CASH IN

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: JafFTay M. Biachoff v. Joe Fraziar, Don Rlclcetts and Ameritrade, Inc. Case Number: 99-4049 Hearino Site: Omaha, Nebraska REPRESENTATION OF PARTIES Claimant, Jeffrey M. Bischoff ("Bischoff"), hereinafter referred to as "Claimant": Christian R. Blunk, Esq.» Brickshire & Blunk. Omaha, Nebraska. Respondents, Joe Frazier a/k/a Joe Frazee ("Frazier"). Don RIcketts ("Ricketts") and

Award NASD Dispute Resolution, Inc. In the Matter of the Arisitration Between: John Donald Wright, (Claimant) vs. Charies Thomas May and May Financial Corp. (Respondents). Case Number 99-04655 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, John Donald Wright, ("Claimant^: Lauren Wagner, Esq. and Peter Anderson, Esq.: Suther Asbill & Brennan, LLP, located In Atlanta, Georgia. Respondents, Charies Thomas May and May Financial Corp. ("

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thet Claimant Nnmhpr- 01-05357 Legg Mason Wood Walker, Incorporated Name of The Resprmftenf Glenn S. Cohen aring .s.itft- Charlotte, North Carolina KF.PRRSF.NTATTON OF PARTTFS Claimant, Legg Mason Wood Walker, Incorporated ("Legg Mason") was represented by Jason W. Gaarder, Esq., Legg Mason Wood Walker, Incorporated, Baltimore, Maryland. Respondent, Glenn S. Cohen

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-05352 H&R Block Financial Advisors, Inc., Claimant vs. Audio Hookups, Inc., Respondent. ATTORNEYS: Claimant, H&R Block Financial Advisors, Inc., ("Claimant"), appeared through its in-house counsel, Kurt M. Miller, Esq., Detroit, MI. Respondent, Audio Hookups, Inc., ("Respondent"), did not respond to the Statement of Claim. DATE FILED: October 9, 2001 CASE SUMMARY: Claimant alleged

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Malca Reznik, as individual account holder for the benefit of Ruben Vodovoz Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Anthony J. Garcia Case Number: 01-05351 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Malca Reznik, as individual account holder for the benefit of Ruben Vodovoz, hereina