Award NASD Dispute Resolution In the Matter of the Arbitration Between: William McGeever and Evelyn McGeever, Trustees of the William E. & Evelyn J. McGeever Living Trust DTD 12/15/98, Claimant v. UBS Financial Services Inc., Michael E. Hack and James H. Ross, Respondents Case Number: 03-01655 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Timothy A. C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between David B. Tardy Case No. 00-04477 Jefferson Pilot Securities, Corporation Paul G. Romweber John E. Longmire Hearing Sitfv Richmond, Virginia Claimant, David B. Tardy ("Claimant") was represented by J. Mark Gregory, Esq. of the law firm of Hairfield & Morton, PLC, Richmond, VA. Respondent Jefferson Pilot Securities Corporation ("Jefferson Pilot") and John E. Longmire

05/08/01 WED 09:47 FAS NASD REGULATION $002 Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bane of America, LLC, (Claimants) v, Thomas J. Spellman, (Respondent) Case Number 00-00449 Hearing Site: Chicago, Illinois Claimant Bane of America, LLC ("Bane of America"): John Guarisco, Esq., Neal, Gerber & Eisenberg, Chicago, Illinois, Respondent Thomas J. Spellman ("Spellman") was pro se £ASEJNFO%MATIQN State

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, of the Claimants Case Tshimher 03-01652 Fred Freese Alicia Freese Fred Freese, KEOGH Name of thft Pftspnnftents Hearing Site! Philadelphia, PA Linsco/Private Ledger Corp. Mark J. Angelo Financial Services Mark J. Angelo Nature of the Dispute: Customers v. Member, Non-Member and Associated Person. REPRESENTATION OF PARTTF.S Claimants, Fred Freese,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia Schiano IRA (Claimant) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and Ken Mathieson (Respondents) Case Number: 03-01650 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person, REPRESENTATION OF PARTIES Claimant Patricia Schiano IRA ("Schiano") hereinafter referred to as "Claimant": David E. Robbins,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants The Estate of William Gathen, a Protected Person, by its Conservator, Jon B. Munger, Esq. and the Elizabeth Gathen Trust, by Stephen Albery, Trustee and Case Number: 03-01646 Hearing Site: Southfield, Michigan Names of Respondents National Financial Services LLC Securities America, Inc., Ronald Harczak, Jeffrey Antonette, and Karen Muithaup NATU

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Investec (US) Incorporated (Claimant) v. David Karlin (Respondent) Case Number: 03-01633 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Investec (US) Incorporated ("Investec") hereinafter referred to as "Claimant": Joseph DaProcida, Esq., Investec (US) Incorporated, New York, NY. The previous Claimant, Max

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names fifths Claimants Case Number; 03-01628 Leonard May Diane May Names nf the KespnnHpnts Hearing Site; Philadelphia, PA Legg Mason Wood Walker, Inc. Robert W. Hoey George D. Eggers, IE Nature of the Dispute: Customers v. Member and Associated Persons. KKPRFSF.NTATTON OF PARTTFS Claimants, Leonard May and Diane May, hereinafter collectively referred to a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01624 Martha Liliana Asher Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley Dean Witter, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Martha Liliana Asher, hereinafter referred to as "Claimant": Howard R. Behar, Esq., Howard R. Behar, P.A., Aventura, Florida. For Morgan Stanley

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Michael N. King & Associates Profit Sharing Plan and Michael N. King as Trustee of the Michael N. King & Associates Profit Sharing Plan Names of the Respondents Katrina Bowers, Invest Financial Corporation and National Financial Services Corporation Case Number: 03-01623 Hearing Site: Atlanta, Georgia Nature of the Dispute: C