Award NASD Dispute Resolution In the Matter of the Arbitration Between: Saul Rogers and the Delaware Charter Rollover IRA Account, (Claimant) vs. Josephthal & Co., Inc. and Douglas Osher, (Respondents) Case Number: 01-04961 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Saul Rogers ("Rogers") and the Delaware Charter Rollover IRA Account ("IRA"), hereinafter collectively referred to as "Claimants": Brian E. Maas, Esq., Frankfurt G

r NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-04956 Janet L. Rudolph, claimant vs. Morgan Stanley Dean Witter, Inc., respondent. ATTORNEYS: Claimant appeared pro se, Tacoma, WA. For Respondent appeared in-house counsel, Douglas F. Stone, Esq., New York, NY. DATE FILED: September 21, 2001 CASE SUMMARY: Claimant alleged that respondent's broker purchased unsuitable investments contrary to her investment objectives. Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04953 Helen Weiss Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Phillip J. Berk Mary Meeker REPRESENTATION OF PARTIES For Helen Weiss, hereinafter referred to as "Claimant": Darren C. Blum, Esq., Law Offices of Darren C. Blum, P.A., Plantation, Florida, For Morgan Stanley DW, Inc. ("Morgan"): A

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Pnjdential Securities Incorporated v. Rebecca Kaszovltz and Robert Kaszovitz ASomeys: For Clain(iant(8): David W. Schmidt Esq. - Cranford, NJ For Respondent(s): Rebecca Kaszovitz - Brooklyn, NY Robert Kaszovitz - Brodclyn, NY Date Filed: 09/10/2002 First Scheduled: 01/22/2003 Decided: ^iq/oa Case Summary: The statement of daim alleges the respondents failure

.^ew York Stock Exchange NYSE In the Matter of Arbitration Between ^ Case: IMIchaai Fried v Prudandal-Bacha, el al Attorneys: ForClalmart(t): Midiaei R. Fried - San Leandro. CA For noipondent(a): Rolf A. Bertier - San JOM, CA Patricia Fitzpatridt Esq. - New Yorit. MY Patricia Fitzpatricic Esq. - New Yoric, NY Patricia Frtzpatridt Esq. - New Yoric, NY Patricia Fitzpart* Esq. - New Yori;, NY Anttwny Raala - New Yorit, NY Alan R. Taxarm

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Clare Freight International Inc. and Robert Hsiang Lin Wu v. Josephthal, Lyon & Ross, Inc. Attorneys: For Claimant(s). Brian N. Smiley Esq. - Atlanta, GA For Respondent(s): Robert E. Murphy Esq. - New York, NY Date Filed: 12/O8/1997 First Scheduled: Decided: Case Summary: Claimants allege that respondentfraudulently misled them into making purchases of unsuitable

-ieci New York Stock Exchange In the Matter of Arbitration Between NYSE Caaa: dtounW A Oonpany M. BwraHlatta OlawM «id Marli RIOMM Atterntya: PofOHtiiortSt. PMBrJWbGi^-McCoy, CO 0wiiOMlmiE»e.-iiiiMia ieMMra-ociM,n. DltoFlle(l:0M7/im Fhst Schadulid: leni/iwa Dicidad: 1/16/97 bilvNM.IrMrMi».nnnbiwwiMmmiqwtMiplMllquldaMddMniign. RP^wnSM Mvk SiSMrit flM a ooursorolBlm alMiina MiMrsainirt ^ Produot: rMmNeeorTY NOTC MWRRi Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04948 Susan Goldberg Name of the Respondent Hearing Site: Boca Raton, Florida Salomon Smith Barney, Inc. REPRESENTATION OF PARTIES For Susan Goldberg, hereinafter referred to as "Claimant": David A. Weintraub, Esq., David A. Weintraub, P.A., Ft. Lauderdale, Florida. For Salomon Smith Barney, Inc., hereinafter referred to as "Respondent"

New York Stoclc Rxchange In the Matter of Arbilraliuii Between NYSE Case: Prudential Seeuriliw Incarporaiod v. JeHmf 6ukan Attornsys: PorOlMnMilM. Cary Saratsky Eeq - BlsotnUd Mils, Ml For FMtpendwHd): Tracy Gertar E*q. - West Palm Beach. FL Date Filed: 04/12/1996 Pirst Scheduled: it'TWioQ* Decided: 4/17/97 Case Summary: M«ntor nm clunani allsgw Umtuit ol wnptoymert agroomaffl and nonpaymart et pramaior/ now. Raapondont flad Muntarda

/y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Max Kaufman, Max Kaufman trustee of the Nine to Nine Employee Pension Trust v. DonaM Pressman & Shearson Lehman Hutton Attorneys: For Claiinant(s): William F. Spallina Esq. - Newton, MA For Respondent(s): Harry D. Frisch Esq. - New York, NY Date Filed: 07/30/93 Case Summary: Customer v. Member Firm & speculative securities including junk bonds. First Sched