Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Frank Harmon Black, Jr. Case No. 98-01040 Names of Respondents Robert Thomas Securities, Inc. Raymond James Financial, Inc. J. Stephen Putnam Kevin Carreno REPRESENTATION OF PARTIES For Frank Harmon Black, Jr., hereinafter referred to as "Claimant": Thomas A. McKinney, Esq. of McKinney, Givens & Associates, PLLC, Rock Hill, South Carolina, u

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dianne L. Rice and Helen P. Walsh, Claimants v. A.G. Edwards & Sons, Inc., Walter John Schwenk, and Victor Alexander Koby, Respondents Walter John Schwenk, Counter-Claimant v. Dianne L. Rice and Helen P. Walsh, Counter- Respondents Victor Alexander Koby, Counter-Claimant v. Dianne L. Rice and Helen P. Walsh, Counter- Respondents Case Number: 98-00394 Hearing Site: San Dieg

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Michael Araiz, Matthew Bennett, David Castillo, Wesley Sparks and Stephen Sullivan, (Claimants), vs. M.J. Whitman, Inc., M.J. Whitman Holding, Corp., EQSF Advisors, Inc., Martin J. Whitman, Barbara E. Whitman, Thomas I. Whitman, James Q. Whitman, David M. Barse, and Michael D. Carney, (Respondents). Case Number: 97-05346 Hearing Site: New York, New York REPRESENTATION OF PARTI

- < "• JAN, 16. 2003 12:57PM SEGULATORY DEPT _ . NO. 9570 P. 4 Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Terry W. Brady, (Claimant) vs. Ameritrade Inc. (Respondent) Case Number: 99-03475 Hearing Site; Houston, Texas REPRESENTATION OF PARTIES Claimant, Terry W. Brady, hereinafter referred to as "Claimant", was initially representing himself but later retained Craig Welscher, Esq, Of Chalker, Blair. P.O., 523 North Sam Houst

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Joseph Karmen, Jerry Raynoso, Bruce Holler, Chris Carstens, Billy Ferree, and Robert Casses Claimants v. Duke & Co., Inc. James Betta, Wayne Whittaker, George Constanzo, Charles Bennett, Charles Betta, Miguel Capelas, Keith Connolly, Steve Cass, Philip Teseo, David Reimer, Howard Blumenau, M. Markowski, Chris Markowski, Thomas John Downey, Jeffrey Honigman, Julia A. Mold-Torres, William R

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Robert D. Halverstadt 97-04198 Name of Respondents State Street Capital Markets Corporation Schroder Wertneim & Co. Inc. REPRESENTATION For Claimant Robert D. Halverstadt ("Claimant") appeared Marvin I. Gruss, Esq. of the law firm Gruss & Jex, located in New Canaan, Connecticut. Respondent State Street Capital Markets Corporation ("State Street") did no

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tie Matter of the Arbitration Between of Claimant i s \ 91-00579 Mama of Kay Bryun-Ellexxnan Ronald A. Moceri For Claimant: Michael L. Paule, of tavestors Arbitration Services, Inc. For Respondent: Noel K. ltu.gRi.aun, Esq. of Davis, Sarauelson, Blataely and Goldberg Statement of Claim filed t 2/21/91 Claimant's Submission Agreement signed ont 2/12/91 Joint Statement of Ans

NATIONAL ASSOCIATION OP SECURITIES DEALERS la the Matter of the Arbitration. Between ron Ccleman, as secured party for Omega Laboratories NASD #91-00577 3rey Randolph and Abbott Limited For Claimant: Jeffrey S. Kob, 3aq. For Respondent: Anthony Coultas, 3sq. Grey Randolph * Abboct, Led. CRSB THPQHMATXQII Statement of Claim filed: February 21, 1991 Claimant's Submission Agreement signed on: March 6, 1991 Respondent's Motion to Dismiss fil

N.A.S.D. AWARD NATlCNMi ASSOCXXTICN OF SBCORTTnS DEALERS In the Matter of the Arbitration Between Name of da-inapt (8) 91-00548 tiea Inc. Sutro & Go. moorporated Tucker, Anthony & R.L. Day, Inc. Mary Lou Bottino For CLainant: Michael M. Angello, Eaq. For Respondent: T>»-iyWtM«i-Barfr? Securities, Inc., James A. Capezzuto, Eaq. For Respondents: Tyler M. Paetkau, Esq. of Crosby Heafy, Roach and Msy Sutro 6 Co., Stataaoot of Halm filed

N.A.S.D. AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard M. Finder, Individually and as Trustee and Jeffrey Finder vs. NASD Arbitration. No. 91-00538 Merrill Try"*"** Pierce Fenner & P^t* 1 , Inc. For CLainant: EdNerd Garteoberg, Esq., of Burris, Drulias «nd Gartenberg For ftnepcndmt* TtxJd A. Zuckerbrod, Esq., of Merrill Lynch, Pierce, Fanner & Smith Inc. Statement of Cl-aHm filed: Februa