Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS/Paine Webber Incorporated, Claimant v. David Walsh, Respondent Case Number: 01-04118 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Lisa A. Catalano, Esq. UBS/PaineWebber Incorporated Northvale, New Jersey For Respondent: David Walsh In Pro Per Los Angeles, California CASE INFORMATION Statement of Claim filed: July 31, 2001

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Quty and Etaia Matz v Prudential Seeuritiw, Ina and Euan Tabor Attorneys: Fw Ctananl(s}: JeNny P. Om Esq. - FM Wl V. MMMI AriH Em. - BWM Raton, FL EMH Tabar . PtonMton, FL Data Ried: iQ/t4/iBM Pi8t Soheduled: osffi7/tn7 Case Summary: CtaimaiilB alege llwl Raqxmdwit* fa,M to IvitM a ttwt RnpondonlB iiiiwiiWHGnlBd tha iwnn of Ida tacwWati wNch wara i

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Audrey Winn v. Prudential Securities & Stuart Weisbrot Attorneys: Fbr ClainBnt(s): Audrey Winn - Boca Raton, FL For Respondents): John O'Leary Esq. - Naw Yoric, NY Date Filed: io/07/i996 Rrst Scheduled: 03A)6/i997 Decided: 4/2/97 Case Summary: Customer daimant alleges misrepresentation regarding sato of AT&T sfndc. Product: EQU Market: Claim Data Claim: $

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Thomas B. Upshur v. Olde Discount Corporation Attorneys: For Claimanl(s): Thomas B. Upshur - Plymoutti, MN l=br Respondent(s): Donald P. Wray Esq. - Detrott, Ml Date Filed: 10/24/1996 Case Summary: Claimani, i First Scheduled: 02/11/1997 Decided: 02/20/1997 a publto customer, altoges failure to execute and breach of fiduciary duty against Respondeni, a me

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: /Uastalr Tedford v. Lehman Brothers Inc. Attorneys: For Claimant(s): James B. Shanman Esq. - New York, NY i=br Respondenl(s): Robert N. Hottzman Esq'. - New York, NY Thomas E. Hommel Esq. - New York, NY Date Filed: 10/18/1995 First Scheduled: 04/08/1997 Decided: 07/25/1997 Case Summary: Ctolmam, a registered representative and former employee, alleges breach of c

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Gruntal & Company vs. Dantoi Murphy Attorneys: For Clalmant(s): David W. Schmidt Esq. - Kenilworth, NJ For RespondenKs): L. Van Stillman Esq. - Boca Raton, FL Date Filed: 10/21/1996 First Scheduled: 03/03/1997 Decided: 12/03/1997 Case Summary: Member Firm vs. Registered Rep (ex-employee) seeking to recover amounts atogedly due underthe temns of a promissory note for the note

L-^ New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Stefan Katafai v. Prudenlal Bacha Securtties Attorneys: For Clainnnt(s): Stefan Katafai - Tenerife, Spain, For Respondent(s): Christopher M. Mono Esq. - New York, NY Date Filed: 10/15/1996 First Scheduled: 05/07/1997 Decided: 6/5/1997 Case Summary: The claimant alleges the firm made an error in the execution of an index options trade. Product: OPT

< r New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Pasquato M. Cecto,Jr. and Judith Cecio v. Smith Barney and Daniel Koorbusch Attorneys: For Claniant(s): Marto DeMarco, Esq. - Stamford, CT Fbr Respondent(s): Mary E. Reisert Esq. - New York, NY Date Filed: 10/02/1996 First Scheduled: 05/28/1997 Decided: 10-10-1997 Case Summary: claimants allege the respondents engaged in unsuitable and unauthorized trading

New York Stock Exchange m the Matter of Arbitration Between NYSE Case: Advest Inc. v. Michael Adams Attorneys: For Claimant(s): Barry J. Kronemer Esq. - Hartford. CT For Respondent(s): Gary S. Batke Esq. - Columbus, OH Date Filed: 10/04/1996 First Scheduled: 04/09/1997 Decided: 10-6-1997 Case Summary: The claimant alleges a breach of an employment agreement and the failure to replay a loan due upon the Respondent's termination of

New York Stock Exchange In the Matter of Arbitration Between L NYSE Case: Gruntal & Company vs. Richard Lang Attorneys: For Ciainunt(s): David W. Schmidt Esq. - Kenilworth, NJ Fbr Respondent(s): Rtohard Lang - Greenvale, NY Date Filed: io/08/i996 First Scheduled: 04/17/1997 Case Summary: Member Finn vs. Registered Rep (ex-emptoyee) seeking to recover amounts for the note balance, interest, costs and attorneys fees plus a commission d