Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01031 Santo and Dorothy Brocato Names of the Respondents Hearing Site: Boca Raton, FL Barry Financial Group a/k/a Asset Management Securities Corp. Richard Jeppson and Joseph Fernandez, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Santo and Dorothy Brocato ("Broca

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01030 William Read Kunzler, Claimant vs. World Group Securities, Inc., Respondent. ATTORNEYS: Claimant, William Read Kunzler, ("Claimant"), appeared pro se, Fairbanks, AK. Respondent, World Group Securities, Inc., ("Respondent") appeared through its Vice- President/Chief Legal Officer, Leesa M. Easley, Duluth, GA. DATE FILED: February 11, 2003 CASE SUMMARY: Claimant alleged that Responde

Award NASD Dispute Resolution In the Matter of the Arbitration Between: KTamp. nf tfrp ri^i'rpant C^e*. "NTiirnhfir' 0^-01074 Robin Smith Morgan Stanley DW Inc.; Arthur B. Segall; and, Carla S. Leverman jflg ftjte' Dallas, Texas NATTTPI? OT? TTTF. Public Customer v. Member Firm and Associated Persons Claimant Robin Smith, hereinafter referred to as "Claimant": John T. Palter, Esq. of the firm of Davis Munck, P.C., located in Dallas, Texa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01023 Sidney Gelfand Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Sidney Gelfand, hereinafter referred to as "Claimant": Scott L. Silver, Esq., Blum, Silver & Schwartz, L.L.P., Plantation, Florida. For Merri

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Lavonne and Benjamin Carter and Names of Respondents • i Raymond James & Associates, Inc. McDonald Investments and James ,M. Buehier - f Case Number: 03-01020 Hearing Site: Detroit, Michigan NATURE OF CASE I L Customers v. Member Firms and Associated Person i , , REPRESENTATION OF PARTIES , Lavonne and Benjamin Carter ("C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Horace M. Matthews Horace M. Matthews IRA Rollover Horace M. Matthews IRA Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Glen Turner Keith Aebischer Case Number: 03-01019 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PAR

NASD Dispute Resolution Arbitration No. 00-04408 Award Page I of 6 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Adel Kellel and Kellel Family Trust, (Claimants) vs. Bear, Stearns Securities Corp, Pinnacle Asset Management, Inc. and John J. Katsock, Jr. (Respondents) Case Number:QO-04408 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Adel Kellel ("A. Keller) and Kellel Family Trust ("K. Trust"), he

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Andra Lynn Welsh, Claimant v. Cambridge Group Investments, Ltd. and Timothy Patrick Prichard, Respondents Case Number: 03-01016 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondents: Cambridge Group Investments, Ltd. Timothy Patrick Prichard James R. Ballard, Esq. Schwartz Semerdjian & HaileLLP San Diego, California

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01013 UBS PaineWebber, Inc., Claimant vs. Clark Hodges, Respondent. ATTORNEYS: For Claimant, UBS PaineWebber, Inc., ("Claimant"), appeared Romaine L. Gardner, Esq., Staten Island, NY. Respondent, Clark Hodges, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: February 11, 2003 " CASE SUMMARY: Claimant alleged that Respondent refused and failed to repay an outstanding

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS PaineWebber, Inc, (Claimant) v. Randy Schneider (Respondent) Case Number: 03-01012 HearingJSite: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant UBS PaineWebber, Inc, ("UBS") hereinafter referred to as "Claimant": Deborah H. Gottlieb, Esq., Davidson & Grarmum LLP, Northvale, NJ, formerly Davidson, Manchel & Brerma