AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Paul Wiegmann vs. Case Number: 98-00115 Hearing Site: Chicago, Illinois Name of Respondent Lanny T. Fried NATURE OF THE DISPUTE Customer vs. Associated Person REPRESENTATION OF PARTIES Paul Wiegmann ("Claimant") appeared pro se. Lanny T. Fried ("Respondent") was represented by Michael Utilla, Esq., Attorney at Law, Brooklyn, New York. CAS

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-08483 Michael J. Baumgardner William Fraser Name of the Respondent Hearing Site: Boca Raton, Florida Jacob Feldman Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES Claimant Michael J. Baumgardner ("Baumgardner") and Claimant William Fraser ("Fraser"), hereinafter collectively referred to as "

Amended Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name Q| Claimant Merrill Lynch Pierce Fenner & Smith, Inc. Case No. 01-01822 Names of Respondents UBS PaineWebber, Inc. Dennis V. Coleman REPRESENTATION OF PARTIES For Merrill Lynch Pierce Fenner & Smith, Inc., hereinafter referred to as "Claimant": Mark L. Prior, Esq. and M. Dawes Cooke, Jr., Esq., Rubin & Associates, Inc., Paoli, Pennsylvania. For UBS

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-03185 ! Warren E, and Freada Kumm, claimant vs. Saperstoa Financial Inc. and La Salle Securities, Inc., respondents. ATTORNEYS: j For claimant Warren E. and Freada Kutnm, appeared John W. Dorn, Esq., of the firm, Nesper, Ferber & DiGiacomo, LLP, Amherst, NY : i For respondent Saperston Financial Inc., appeared Patrick G. Finegan, Jr. Esq., Washington, DC [ For respondent La

Modified Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph Charles Christie, (Claimant) vs. Grady & Hatch and Company, Inc. (Respondent) Case Number: 01-02257 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Joseph Charles Christie, hereinafter referred to as "Claimant": appeared pro se. Respondent, Grady & Hatch and Company, Inc., hereinafter referred to as "Respondent", did not appear at the heari

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Hellman Family Trust, Claimant v. San Clemente Securities, Inc., Stephen J. Kelso, Otto C. Johnson, Thomas H. Sunderland and Cooke B. Christopher, Respondents Case Number: 01-00020 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondent San Clemente Securities, Inc.

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #32-01549 AWARD In the Matter of the Arbitration Between Jonathan Wahl Claimant vs. Kidder, Peabody it Company, Inc. John J. Roche Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 6, 1992, Claimant Jonathan Wahl, who appeared Pro Se, alleged that in early March he contacted Respondent Kidder, Peabody & Compan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of' Claimants John M. and Catherine D. Wildman 92-01544 Name of Respondents Charles Schwab & Company. Inc. William Sweat Lisa Johnson John Hall REPRESENTATION For Claimants John M. and Catherine Wildman ("Claimants"): Daryl J. Hudson. HI. Attorney at Law For Respondents Charles Schwab & Co.. Inc.. Bill Sweat. Lisa Johnson and J

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) John & Judy Fitzgerald Case No. 92-01543 Name of Respondent(s) Shearson Lehman Button, Inc. Ira Weiner For Claimants, John and Judy Fitzgerald ("the Fitzgeralds"): J. Anthony Penry, Esq. and Anne E. Essaye, Esq. of Petree Stockton & Robinson. For Respondents, Shearson Lehman Brothers ("Shearson") and Ira Weiner ("Weiner")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Tucker Anthony Incorporated vs. Case # 92-01538 Name qf Respondent Murray Rosenberg RFPR MENTATION For Claimant: Tucker Anthony, Inc., ("Claimant") William T. Marshall. Jr., Esq. from the law firm of Sullivan & Marshall. Respondent. Murray Rosenberg, ("Rosenberg") did not appear at the hearing. CASE INFORMATION Stat