STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Denise Barnes and 03-02634 Chicago, Illinois Name of Respondents Signator Investors, Inc. Robert D. Lyman, Jr. and Keith B.Mooney Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Denise Barnes ("Claimant") was represented by Leslie A. Blau, Esq., Blau & Banovich, Chicago, Illinois. Sign

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04512 Martin Goodman, Claimant vs. Ed Patzer and Ronald Menges, Respondents. ATTORNEYS: Claimant, Martin Goodman, appeared Pro Se, Santa Fe, New Mexico. For Respondents, Edward L. Patzer and Ronald S. Menges, appeared Michael Nacarrato, Esq., St. Louis, Missouri. DATE FILED: October 11, 2000 CASE SUMMARY: Claimant alleged that due to respondents' unsuitable recommendations and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02630 Janet C. Kelley Names of the Respondents Hearing Site: New Orleans, LA Morgan Stanley DW Inc. Dominick P. Musso Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Janet C. Kelley ("Kelley"), hereinafter referred to as "Claimant": James F. Willeford, Esq., New Orleans, LA. For Morg

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Lawrence J. Phalin, as Trustee for the Julie G. Klein Irrevocable Trust dated 10/18/91 Name of the Respondent Prudential Securities, Inc. n/k/a Prudential Equity Group, Inc. Nature of the Dispute: Customer vs. Member Case Number: 03-02629 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For Lawrence J. Phalin, as Trustee fo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth I. Wissner (Claimant) v. Fin Atlantic Securities, S.G. Martin Securities, LLC, and Lance Mitchell Kluger (Respondents) Case Number: 03-02624 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member, Terminated Member, and Associated Person. REPRESENTATION OF PARTIES Claimant Kenneth I. Wissner ("Wissner") hereinafter referred to as "Claimant": Leslie

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02623 Robert Marion Ward and Betty Mayher Ward, Claimants vs. OptionsXpress, Inc., Respondent. ATTORNEYS: Claimants appeared pro se, Alexandria, VA. For Respondent, OptionsXpress, Inc., appeared Jennifer Zordani, Esq. of the firm Ungaretti & Harris, Chicago, IL. DATE FILED: April 9, 2003 CASE SUMMARY: Claimant alleged that Respondent failed to properly execute an orders to sell long

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alan K. Goldberg, Trustee, on behalf of the Plan Participants and Beneficiaries of the Alan K. Goldberg, DDS, Inc., Profit Sharing Plan (Claimant) vs. Prim Securities, Inc., Brecek & Young Advisors, Inc., and Patrick J. Walters (Respondents) Case Number: 03-02621 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02620 M. Elaine Dickson and John R. Robertson, Claimants v, UBS Financial Services Inc. f/k/a UBS PaineWebber, Inc., Robert Long, and Jan L. Long, Respondents. ATTORNEYS: Claimants, M, Elaine Dickson and John R. Robertson, ("Claimants"), appeared pro se, Overland Park, KS. For Respondents, UBS Financial Services Inc. f/k/a UBS PaineWebber, Inc., Robert Long, and Jan L. Long, ("Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: R. Scott Taylor (Claimant) v. InterSecurities, Inc. and Herbert A. Pontzer (Respondents) Case Number: 03-02619 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant R. Scott Taylor ("Taylor") hereinafter referred to as "Claimant": Robert J. Hollingworth, Esq., Cors & Bassett, LLC, Cincinnati, OH.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marie B. Yvon (Claimant) v. Edward Jones Investments and John E. Zahner (Respondents) Case Number: 03-02618 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Marie B. Yvon ("Yvon") hereinafter referred to as "Claimant": Kathleen Eldgergill, Esq., Beck & Eldergill, P.C., Manchester, CT. Responde