NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00834 Dennis W. Orcutt, Claimant vs. U.S. Bancorp Piper Jaffray Inc., Paula Barry, Steve Berglund, Frank Buchholz, and Kay Hokenstrom, Respondents. ATTORNEYS: For Claimant appeared L. Michelle Orcutt, Littleton, CO. For Respondents appeared in-house counsel, Jennifer R. Relien, Esq., Minneapolis, MN. DATE FILED: February 4, 2003 CASE SUMMARY: Claimant alleged that he requested Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joan F. Cammett (Claimant) vs. Frederic Silverman and Fahnestock & Co., Inc. (Respondents) Case Number: 03-00833 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Joan F. Cammett hereinafter referred to as "Claimant": David W. Krumsiek, Esq., Preti Flaherty Beliveau Pachios & Haley, Boston, MA

Award NASD In the Matter of the Arbitration Between: Name of the Claimant John J. Quinn, III Names of the Respondents Prudential Securities, Inc. and Michael E. Bass Case Number: 00-04394 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For John J. Quinn, III, hereinafter referred to as "Claimant": John C. Taylor, Jr., Esq., Taylor, Day & Currie, Jacksonville, Florida. For Respondent Prudential Securities, Inc., hereinafter referre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Oleg Briansky, Oleg Briansky IRA, Mireille Briane, Mireille Briane IRA, Oleg Briansky and Mireille Briansky, and Briansky Saratoga Ballet Center, Inc. (Claimants) v. InvestPrivate, Inc., Michael Ventura a/k/aHichem Dhaouadi, Scott L. Mathis, and Donald Geraghty (Respondents) Case Number: 03-00831 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associa

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03^)0830 David R Brackmann ACF Lauren N. Brackrnann U/CA/UTMA, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Scott M. Shagrin, Respondents. ATTORNEYS: For Claimant, David E. Brackmann ACF Lauren N. Bracfcmarm U/CA/UTMA, ("Claimant"), appeared Edward W. Ruasey, ffl, of the firm Oswald & Yap, Irvine, CA. For Respondents, Citigroup Global Markets, Inc. f/k/a Salom

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00829 David E, Brackmann ACF Nicholas E. Brackmann U/CA/UTMA, Claimant vs. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., and Scott Shagrin, Respondents. ATTORNEYS: For Claimant appeared Edward W. Russey in, Esq., of the Law Offices of Oswald & Yap, Irvine, CA. For Respondents appeared through their in-house counsel, Ann Parry, Esq., New York, NY. DATE FILED: February 4

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant DebbraP. Wolf and 03-00824 Milwaukee, Wisconsin Name of Respondents John Butler and Wachovia Services, LLC. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Debbra Wolf ("Claimant") was represented by John R. Teetaert Esq., of Menn, Teetaert & Beisenstein, Ltd., located in Appleton, Wisconsin. Wachovia Services LLC. ("Wacho

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant ras«» Number 03-00823 Wayne P. Hoffinan Names of the "Respondents Rearing Site: Raleigh, NC Washington Square Securities, Inc. Kenneth E. Smith, m Nature of the Dispute: Customer v. Member and Associated Person. RFPRRSKNTATTON OF PARTIES Claimant, Wayne P. Hoffinan, hereinafter referred to as "Claimant", was represented by Glenn A. Barfield, Esq., Ba

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Arya P. Bhattacherjee, Claimant v. Morgan Stanley Dean Witter (n/k/a Morgan Stanley DW Inc.), Respondent i . ' Case Number: 03-00820 , Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Jeffrey E. Essner, Esq. Hopkins & Carley San Jose, California , i Paul D. Allen, Esq. , ' Bingham McCutc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ralph Arroyo, Claimant v. Bradford Jocobowitz and Interactive Brokers, LLC, Respondents Case Number: 03-00815 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Ralph Arroyo In Propria Persona Perris, California For Respondents: David M. Battan, Esq. Jocelyn Barone, Esq. Intera