AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Amy L. Buckley and 02-07220 Phoenix, Arizona Name of Respondents Robert W. Baird & Co., Inc. Rock J. Eiden Ronald J. Farley Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Amy L. Buckley ("Claimant") was represented by Jeana R. Webster, Esq. and Martin R. Galbut, Esq., Galbut & Hunter, P.C., Phoenix,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Tommie J. and Mary E. Leslie JTWROS Tommie J. Leslie Names of the Respondents Michael Sidney Wooton American Fronteer Financial Corporation Auerbach, Pollak & Richardson, Inc. Case Number: 02-07219 Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Tommie J. and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-07211 Herman J. Fox, Individually and as Trustee of the Herman J. Fox Trust UDA 5/9/96 Clover G. Fox, Individually and as Trustee of the Clover G. Fox Trust UDA 5/9/96 Names of the Respondents Hearing Site: Tampa, FL Prime Charter, Ltd. n/k/a Fahnestock & Co., Inc. Richard Thomas Jean Nature of the Dispute: Customer vs. Member and A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Baker, Claimant v. American Express Financial Advisors Inc. and Stanley Cohen, Respondents Case Number: 02-07209 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Joel R. Bennett, Esq. Bennett & Fairshter, LLP Pasadena, California For Respondents: Elizabeth Lowery, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lance C. Newby and John H. Chilcott, Claimants v. Jonathan Masaru Emura, Ching Hui Wang aka Candy Wang, and Shawn Brian McKay, Respondents Case Number: 02-07207 Hearing Site: Honolulu, Hawaii Nature of the Dispute: Associated Persons v. Associated Persons REPRESENTATION OF PARTIES For Claimant Lance C. Newby: Lance C. Newby In Propria Persona Kailua, Hawaii For Claimant

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04205 Danny F, Wu, claimant vs. Fidelity Brokerage Services LLC, respondent. ATTORNEYS: Claimant, Danny F. Wu appeared Pro Se, Germantown, MD. For Respondents Fidelity Brokerage Services LLC appeared David C. Boch, Esq., of the firm Bingham Dana LLP, Boston, MA. DATE FILED: September 17, 2000 CASE SUMMARY: Claimant alleged that respondent failed to execute a sell order of 8,500

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Olsen Family Trust DTD 01/05/96, Claimant vs. Morgan Stanley DW Inc. and Richard B. French, Respondents Case Number: 02-07203 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: William S. Bonnheim, Esq. William S. Bonnheim, PLC Palm Desert, California For Respondents: Ronald E.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jennifer A. Honen (Claimant) v. Morgan Stanley & Co., Inc., Mark L, Edelstone, John Cross, Louis P. Gerhardy, and Gary Chia (Respondents) Case Number: 02-07198 Hearing Site: Albany, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Jennifer A. Honen ("Honen") hereinafter referred to as "Claimant": Richard E.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07197 UBS/Paine Webber, Inc., Claimant vs. Curtis J. Easton, Respondent. ATTORNEYS: For Claimant, UBS/PaineWebber, ("Claimant") appeared Lisa A. Catalano, Esq. of the Law Offices of Davidson, Manchel & Brennan, LLP, Northvale, NJ. Respondent, Curtis J. Easton, ("Respondent") appeared Pro. Se, Blue Bell, PA. DATE FILED: November 26, 2002. CASE SUMMARY: Claimant alleged that Respondent fai

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07194 Leo Andreoli, claimant vs. Webster Investment Services, Inc. and Robert Cosentino, respondents. ATTORNEYS: Claimant appeared pro se, Las Vegas, NV. For Respondent, Webster Investment Services, Inc., appeared in-house counsel Thomas N. Howe, Waterbury, CT. Respondent, Robert Cosentino, appeared pro se, Farmington, CT. DATE FILED: November 26, 2002 CASE SUMMARY: Claimant alleged