Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-06906 Martin Savarick and Jan Savarick, Joint Account Martin Savarick Jan Savarick Names of the Respondents Hearing Site: Boca Raton, Florida UBS PaineWebber, Inc. Robert David Child David Block Michael Brian Levin Jeffrey Allen Dudas Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTAT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard L. and Florence Law, Richard L. Law IRA, and Richard L. Law SEP IRA (Claimants) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc., Richard Dorfrnan, Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc., and Jack Grubman (Respondents) Case Number: 02-06905 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Perso

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06900 Dianna Lynn Name of the Respondent Hearing Site: Boca Raton, FL CIBC World Markets Corp. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Dianna Lynn ("Lynn"), hereinafter referred to as "Claimant": Curtis Carlson, Esq., Payton & Carlson, P.A., Miami, Florida. For CIBC World Markets Corp. ("CIBC"), herei

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Mae C. Annandale, individually and as Trustee for the Clyde B. Annandale Trust and the Cyrus B. Conner Trust Names of the Respondents Linsco/Private Ledger Eugene F. Blair Case Number: 02-06895 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mae C. Annand

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Jack E. Lauterbach Case No. 00-04161 Morgan Stanley DW Inc.; John M, Billingsley; Jeffrey M. Roumfort; NWQ Investment Management Co.; and Michael C. Mendez Hp.aring Site: Houston > Texas Claimant Jack E. Lauterbach ("Lauterbach") was represented by Frank Pinedo, Esq., of the Law Offices of Frank Pinedo, located in Houston, Texas. Respondents Morgan S

0^/31/2004 11:32 FAX 312 899 4407 N A S D 1002/009 STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard McBride and Case Number: 02-06891 Hearing Site: Houston, Texas Names of Respondents IFG Network Securities, Inc., and Bert E. Miller, Jr. MATURE Of CASE Customer v. Member and Associated Person REPRESENTATION OF Richard McBride ("Claimant") was represented by

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between James V. McMahill and Mary E. McMahill v. 02-06890 Minneapolis, Minnesota Respondents US Bancorp Piper Jaffray, Inc. and Daniel Lastavich Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES James V. McMahill and Mary E. McMahill ("Claimants") were represented by Henry M. Helgen, Esq., and Jennifer Jameson, Esq., of McGrann She

Award NASD Dispute Resolution P P P I \/'*-*"* v- w L- / V c D feIR -q A o. • • •' /-\ v In the Matter of the Arbitration Between: ^^TRAnQN p . - - Edward Irwin Frankel, Claimant v. Aragon Financial Services, Inc. and Veritrust Financial, LLC, Respondents Case Number: 02-06887 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Members REPRESENTATION OF PARTIES For

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services Inc. f7k/a UBS Paine Webber, Inc., Claimant v. Jooyoon Back, Respondent Case Number: 02-06885 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Laura Martin, Esq. Davidson & Grannum, LLP Northvale, New Jersey For Respondent: Jooyoon Back In Propria Persona

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hector Lamas and Leila Lamas, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Scott C. Brown and Alan Mattes, Jr., Respondents Case Number: 02-06883 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES * ' For Claimants: Mitchell S. Ostwald, Esq. Law Offices of Mitchell S. Os