Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Leona M. Clothakis IRA, Claimant v. First Security Van Kasper and Brian Olton, Respondents Case Number: 01-02487 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Anthony M. Englese, Esq. San Francisco, California For Respondent First Security Van Kasper: Gordon C. Young, Esq. Keesal, Young & Logan San Francisco, California For Respond

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant James W. Hamilton, Jr. Case No. 00-03080 Names of Respondents Prudential Securities, Inc. David Munro Pierce Joseph Thomas Grippi REPRESENTATION OF PARTIES For James W. Hamilton, Jr. ("Hamilton"), hereinafter referred to as "Claimant": S. Lawrence Polk, Esq., Sutherland Asbill & Brennan LLP, Atlanta, Georgia. For Prudential Securities, Inc.

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Case Number: 00-03050 Hearing Site: Houston, Texas REPRESENTATION OP PARTIES Claimant Oscar A. Buck hereinafter referred to as "Claimant": M. W. Meredith, Jr. Esq. of Meredith, Donnell & Abernethy, Corpus Christi, Respondents, Merrill Lynch, Pierce, Fenner & Smith Inc and Ramon R. Smith and Julia M. Wells Duran hereinafter collectively referred to as "Respondent

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between The Estate of Virgil Adolph Guenther, by its personal Representative, Margadette M. Demet; Virgil Guenther, Jr. Revocable Living Trust,by its trustee, Margadette M. Dent; and Ardell Guenther, by his guardian, Kevin Demet Case No. 00-03078 J.E. LJss & Co., Inc.; Liss Financial Services; Jerome E. Liss; and Red Oak Financial Corporation Hearing Site: Milwaukee, Wisconsin

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James Chen, individually and as Custodian for Peter Chen, and John Chen, Claimants v. E*Trade Securities, Inc., Respondent Case Number: 00-03762 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: G. Mark Brewer, Esq. The Brewer Law Firm La Jolla, California For Respondent: Paul S. Chan, Esq. Bird, Marella, Boxer & Wolpert Los Angel

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Daniel O'Brien, as Trustee for his Self-Employed Pension Plan and the O'Brien D.D.S., P.S., Profit-Sharing Plan, and Todd Krekow, Claimants v. Dain Rauscher, Incorporated and Wayne Josephson, Nelson Civello and Linda Henderson, Respondents. Case Number: 00-03031 Hearing Site: Seattle, WA I. REPRESENTATION OF PARTIES For Claimants: John A. Bender, Jr., Esq. Holland & Kn

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dorothea Egarian, (Claimant) vs. Salomon Smith Barney, Inc., Richard Defuccio, and Joseph Leidy, (Respondents) Case Number: 00-01959 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Dorothea Egarian, hereinafter referred to as "Claimant": Christopher Brennan, Esq., Smith, Buss & Jacobs, LLP, New York, NY. Respondents, Salomon Smith Barney, In

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Fidelity Brokerage Services, Inc. Case No. 00-01878 Name of Respondent Enos S. Villanueva REPRESENTATION OF PARTIES For Fidelity Brokerage Services, Inc., hereinafter referred to as "Claimant": Laurence K. Richmond, Esq., Law Office of Laurence K. Richmond & Associates, Inc., Quincy, Massachusetts. Enos S. Villanueva, hereinafter referred to as

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Robert C. Logan Christine A. Logan Case No. 00-1799 Name of Respondents H&R Block Financial Advisors, Inc. f/k/a Olde Discount Corporation Tim Damis REPRESENTATION OF PARTIES Claimants Robert C. and Christine A. Logan ("Mr. & Mrs. Logan") were represented by Robert C. Logan located in Bartlett, Illinois. Respondent H&R Block Financial A

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Eric L. Goldstein, (Claimant) vs. First Colonial Securities Group, Inc., Larry Katz, John M. Croce, and Correspondent Services Corporation, (Respondents) Case Number: 00-01199 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Eric L. Goldstein, hereinafter referred to as "Claimant": Thomas J. Fleming, Esq., Olshan Grundman Frome Rosenzweig & Wolos