NASD DISPUTE RESOLUTION AWARD In the Matter of the Arbitration Between Name of Claimant Jerry I. Gilliland and 03-05803 Dallas, Texas Name of Respondent Sid Lorio, Linsco Private Ledger Corp., Linsco Private Ledger Financial Services a/k/a LPL Financial Services NATURE OF THE DISPUTE Public Customer v. Member Firm and Associated Person PARTIES AND THEIR REPRESENTATIVES Claimant: Claimant, Jerry I Gilliland ("Claimant") was re

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cynthia J. Webb, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Kieran T. Maloney, Respondents Case Number: 03-05797 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California For Respondents

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-01612 GKN Securities Corp., claimant vs. Andrew McFarquhar, respondent. ATTORNEYS: For Claimant: Michael S. Colombo, Vice President, New York, NY. Respondent appeared pro se, Jersey City, NJ. DATE FILED: April 2, 2001 CASE SUMMARY: Claimant alleged that respondent breached his employment agreement when he failed to repay monies due as set forth in a Promissory Note. Claim Data

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marshall Field, Claimant v. Passport Securities, Inc., Mark A. d'Ercole and Carol A. Petrarca, Respondents Case Number: 00-00746 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Steve A. Buchwalter, Esq. Law Offices of Steve A. Buchwalter Encino, California For Respon

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Mary Corcoran Hakala and Name of Respondents Fifth Third Securities, Inc. and Terrence A. Newman Case Number: 03-05787 Hearing Site: Chicago, Illinois NATURE OF DISPUTE Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Mary Corcoran Hakala or, ("Claimant"), was represented by Erwin Cbhn Esq., of Cohn & Cohn located in Chi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Horst and Nicole Langecker as Co-Trustees for the Langecker Family Trust UA DTD 11/8/93, Claimants v. UBS Financial Services Inc. file/a UBS PaineWebber Inc. and David A. Jones, Respondents Case Number: 03-05782 Hearing Site: Reno, Nevada Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Thomas C. Bradley, Esq. Sinai, S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number! 03-05781 Charles and Regina Bardin Name of the Respondents Hearing Site: Pittsburgh, PA J J.B. Billiard, W.L. Lyons, Inc. Michael A. Wein Nature of the Dispute: Customers vs. Member and Associated Person. RRPRFSFNTATION OF PARTIES Claimants, Charles and Regina Bardin, hereinafter collectively referred to as "Claimants", were represented

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05776 Regina McDonough Names of the Respondents Hearing Site: Orlando, Florida Morgan Stanley Dean Witter Kurt Kuhlman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Regina McDonough, hereinafter referred to as "Claimant": Richard J. Lantinberg, Esq., Cooper Ridge & Lantinber

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Joe] S. Jacobson Names of the Respondents Wachovia Securities, LLC as successor to Prudential Securities Incorporated Mary Ellen Kay Douglas F. Culver Prudential Equity Group, Inc. Case Number: 03-05775 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-05770 Roslyn Newberg Lillian Newberg Names of the Respondents Hearing Site: Boca Raton, Florida First Union Securities n/k/a Wachovia Securities, LLC Scott Eisler Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Roslyn Newberg and Lillian Newberg, hereinafter collectively refe