STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wells Fargo Investments, LLC vs. Name of Respondent Randal Lee Jefferson Case Number: 05-03331 Hearing Site: Houston, Texas NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Investments, LLC ("Claimant" or "Wells Fargo") was represented by Diane C. Fischer, Esq. and Thomas Volz, Esq., Kane & F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-04223 William W. and Gary Ann Allan Hearing Site: Tampa, Florida Michael Blocker, Inc., a Florida Corporation W. Michael and Marguerite R. Blocker Roger W, and Mary Louise Bradshaw Roger Bradshaw IRA Mary Louise Bradshaw IRA Elizabeth D. and Roger W. Bradshaw Elizabeth Bradshaw IRA Ingrid Goldberg Russell Goldberg. P.A., IRA

NASD Arbitration No. 94-03834 N.A.S.D. AWMD WATIQNAT. ASSOCTATTQN OF SECTlRITTRfi DRALERS. TWr. In the matter of the Arbitration Between Name of Claimant(g) PaineWebber Incorporated Name of Respondentfs) Bradford P. Gillingham RBPRBSENTATIQW For Claimant: Kathryn L. Krebs, Esq., PaineWebber Incorporated, Los Angeles, California For Respondent: Irving Pfeffer, Esq., Pfeffer & Williams, San Francisco, California CASK INPOHMATIOM

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04220 David Rogers Names of the Respondents Hearing Site: Tampa, Florida UBS PaineWebber, Inc. Bradford C. Hagerman REPRESENTATION QF PARTIES David Rogers, hereinafter referred to as "Claimant", appeared pro se. For Respondent UBS PaineWebber, Inc. ("PaineWebber"): Keith Olm, Esq., Morgan, Lewis & Bockius, LLP, Miami, Flori

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert and Catherine Jaworski and 02-00580 Chicago, Illinois Name of Respondents D H Brush & Associates, Inc. Peregrine Financials & Securities, Inc. ABN AMRO. Inc. Daniel M. Brush Ellen M. Alcshire James L. Klotz James F. Kelly Dennis Pascual Nature of the Dispute: Customer vs. Member and Associated Person. JtFPRFSKNTATinN OF PART

STIPULATED AWARD NASD Dispute Resolution In the Matter ofthe Arbitration Between Claimant Saito & Andersen, P.C. V. 02-02174 Minneapolis, Mitmesota Respondents Harbour Investments, Inc. and Jef&ey J: Fruchtenicht RRPRESFNTATTON OF PARTIES Saito & Andersen, P.C. ("Claimant") was represented by Gene Yagla, Esq., of Yagla, McCoy & Riley, P.L.C., Waterloo, Iowa. Harbour Investments, Inc. ("Harbour") and Jeffrey J. Fmchtenicht ("Fruchtenicht"

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Christopher Sims and Mary Margaret Sims v. Paine Webber, Inc. and Tomas M. Mack Case Number: 01-04208 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants, Christopher Sims ("Mr. Sims") and Mary Margaret Sims ("Ms. Sims") hereinafter collectively referred to as "Claimants", were represented by Gregg S. Weinberg, Esq., Giessel, Barker & Lyman, P.C. of Houston, T

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alexander Berlin and Jacqueline Berlin (Claimants) v. Oscar Grass & Son, Inc. and Evan Rapp a/k/a Evan Scott Rapoport (Respondents) Case Number: 99-04632 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Alexander Berlin ("A. Berlin") and Jacqueline Berlin ("J. Berlin") hereinafter collectively

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Geary MacQuiddy (Claimant) v. Lehman Brothers, Inc. (Respondent) Case Number: 03-03552 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Geary MacQuiddy ("MacQuiddy") hereinafter referred to as "Claimant": Francis E. Jenney, Esq., Hamish, Jenney, Mitchell & Resh, Waltham, MA. Respondent Lehman Brothers, Inc

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard Conrad, (Claimant) vs. May Davis Group, Inc. and Hayden Schulman, (Respondents) Case Number: 00-00991 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Richard Conrad, hereinafter referred to as "Claimant": Jonathon D. Warner, Esq., Warner & Joselson, New York, NY. Respondents, May Davis Group, Inc. ("MDG") and Hayden Schulman ("Schulman"), herei