AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Valerie Serice and 03-00588 Houston, Texas Names of Respondents Stanford Group Company and Jeffrey W. Young Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Valerie Serice ("Claimant") was represented by Bertrand C. Moser, Esq., Attorney at Law, in Houston, Texas. Stanford Group Company ("Stanford Grou

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gail Kalloch and Morgan Dean, Claimants v. optionsXpress Inc., Respondent Case Number: 03-00587 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Gail Kalloch and Morgan Dean Berkeley, California For Respondent: Theodore E. Harman, Esq. Ungaretti & Harris Chicago, Illinois CASE INFORMATION Statement of Claim filed: January 22,2003 C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants William R. Freeman and Donna G. Lansdowne, Claimants, vs. Names of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. Paul L. Reekie, Respondents. Case Number: 03-00585 Hearing Site: Houston, Texas NATURE OF CASE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants William R. Freeman and Donn

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00581 Joseph Danielle Linda Danielle Joseph Danielle IRA Linda Danielle IRA Michael Danielle Michael Danielle IRA 4126, Inc. 4126, Inc. d/b/a M& L Auto Wrecking Profit Sharing Plan Names of the Respondents Hearing Site: Boca Raton, FL Merrill Lynch, Pierce, Fenner & Smith Incorporated Steven Weitz Nature of t

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joan Conway, individually, and as Trustee for the Thomas A. Conway Trust u/t/d 3/11/98 (Claimants) v. CIBC Oppenheimer n/k/a Oppenheimer & Co. division of Fahnestock, Fahnestock & Co., Inc., CIBC World Markets Corp., Arthur Gerard Caione, and Arthur Alexander Caione (Respondents) Case Number: 03-00579 Hearing Site: New York, New York Nature of the Dispute: Customers v. Me

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John E. Plum (Claimant) v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Jack B. Grubman (Respondents) Case Number: 03-00576 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant John E. Plum ("Plum") hereinafter referred to as "Claimant": Mark J. Krudys, Esq., Mark J. Krudys, P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Victor Chehebar, MD (Claimant) v. CIBC World Markets Corp., Steve Condos, and Chuck Roberts (Respondents) Case Number: 03-00570 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Victor Chehebar, MD ("Chehebar") hereinafter referred to as "Claimant": David A. Schrader, Esq., Schrader & Schoenberg

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04352 Guy N. Gates, Claimant vs. LCP Capital Corp., Respondent. ATTORNEYS: For Claimant, Guy N. Gates ("Claimant"), appeared Kevin P. Whiteford, Esq. of the law firm Leder & Whiteford, LLP, Sacramento, CA. For Respondent, LCP Capital Corp. ("Respondent"), appeared Charles M. O'Rourke, Esq., Woodbmy, NY. . * DATE FILED: October 2, 2000. CASE SUMMARY: Claimant alleged that Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00564 John W. Hendrix, IRA Names of the Respondents Hearing Site: Orlando, FL Prudential Securities, Inc. Warren R. Thompson Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John W. Hendrix, IRA, hereinafter referred to as "Claimant": Robert Dyer, Esq., Allen, Dyer, Doppelt, Milbrath & Gi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Suzanne Spenner-Hupy and ' 03-00559 *- Milwaukee, Wisconsin Name of Respondents Robert W. Baird & Co. Incorporated DavidS. Epstein Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Suzanne Spenner-Hupy ("Claimant") was represented by Stephen E. Kravit, Esq., Kravit Gass Hovel &Leitner, S.C., Milwaukee, Wis