Stipulated Award NASD In the Matter of the Arbitration Between: Mitchel and Lori Lieberman, JTWROS, Claimants v. UBS PaineWebber, Inc. and Robert E. Leib, Respondents Case Number: 01-03789 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Mitchel and Lori Lieberman, JTWROS, hereinafter referred to as "Claimants": Jack Stein, Esq., Stein, Rosenberg & Winikoff, P.A., Fort Lauderdale, Florida. For UBS PaineWebber, Inc. ("PW") and Robert E

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-01252 Robert L. Cotton Sr., Claimant vs. Anthony M. Cherniawssi and Michael J. Brooks, Respondents. ATTORNEYS: Claimant, Robert L. Cotton Sr., ("Claimant"), appeared Pro Se., Diamondale, MI. Respondent, Anthony M. Cherniawssi, ("Cherniawssi"), appeared Pro Se., E. Lansing, MI. Respondent, Michael J. Brooks, ("Brooks"), appeared Pro Se., Ann Arbor, MI. DATE FILED: March 27, 2000

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Stenley & Laja Shtupak v J.W. Genesis Securities, Inc., Dean Williams and Jonathan Peskin Attorneys: For Claimant(s): Bany R. Lax Esq. - New York, NY For Re5pondent(s): Michael Schwartzberg Esq. - New York, NY Date Filed: 02«o/200i First Scheduled: 11/O8/2001 Decided: 07/01/2002 Case Summary: Claimants, customers, have alleged that respondents engaged in unauthorized

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: William Walters and Tamela A. Walters v. A.G. Edwards & Sons, Inc. and David Michael Adams Attorneys: For Claimant(s): Randall L. Thompson Esq. - Albuquerque, NM For Respondent(s): William S. Port Esq. - St. Louis, MO Date Filed: 02/21/2001 First Scheduled: 02/05/2002 Decided: 02/06/2002 Case Summary: Customer claimant alleges wrongful liquidation of shares of

^ew York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Prisdlla Garber and Heidi Vemick v. A.G. Edwards & Sons, Inc. and Irving Effron Attorneys: For Ciainiant(s): Howard M. Rosenfield Esq. - Famiington, CT For Respondent(s): Clay L. Grumke Esq. - St Louis, MO Date Filed: 02/22/2001 First Scheduled: O8/I6/2001 Decided: 6/20/2002 Case Summary: Customer claimant alleges breach of fidudary duty, misrepresentation, fra

V Sew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ann Johnston (Trustee of the Nina Toland Trust) v. A.G. Edwards & Sons Inc. Attomeys: For Claimant(s): A. Daniel Woska Esq. - Oklahoma City, OK For Respondent(s): John N. Hermes Esq. - Oklahoma City, OK M. Jane Matoesian Esq. - SL Louis, MO Date Filed: 12/I8/2000 Case Summary: Claimant, c conbad, fi'aud and negligence. First Scheduled: 09/10/2001 Decide

New York Stock Exchange In the Matter of Arbitration Between \y NYSE Case: GeraM Kapitoff v CIBC World MarKete Corp., d/b/a CIBC Oppenhtimer Attomeys: For ClaimantCs): Bruce Lewltes Esq. • Chicago, IL For RBBpondeiit(s): Peter M. Spett Esiq. - New York, NY Date Filed: 11/30/2000 First Scheduled: 06/igaooi Decided '' lli^o^ Case Summary: Customer against member firm, branch office manager and registered representetive tor chuming,

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: James Baroutes and George Baroutes v. UBS Warburg LLC, Barry Ackerman, Richard Fiducia, Brett Kellam, Francois De Saint Phalle and John Wilson Attomeys: For Claimant(s): Ralph A. Gant Esq. - New Yori< , NY For Respondent(s): Rotiert Haney Esq. - New York, NY Date Filed: 12/O8/2000 First Scheduled: 04/01/2002 Decided: 1/3/03 Case Summary: James Baroutes and Geo

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Incorporated v. Michael Brinton and Edison F. Parker, Jr. Attorneys: For Claimant(s): Robert A.W. Boraks Esq. - Washington, DC /\my B. Levenson Esq. - Washington, DC For Respondent(s): Marcus M. Crider Esq. - Nashville, TN Date Filed: l2A)5/2000 First Scheduled: 09/25/2001 Decided: 05/21/2002 Case Summary: Claimant, a member fimn, alleges br

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Janney Montgomery Scott LLC v. Robert Doran; Janney Montgomery Scott LLC v Brad Bartt< ow (Consdidated) Attorneys: For Claimant(s): Ronald Shindler Esq. - Miami, FL For Respondent(s): Brad Bartitow - Boca Raton, FL Rot>ert J. Doran - Deerfield Beach, FL Date Filed: 11/27/2000 First Scheduled: O8/09/2001 Decided: 4/16/02 Case Summary: Member finn claimant alleges b