Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Peter A. Monkewicz & Christina Monkewicz, JTWROS Case Number 02-06857 Chicago, Illinois and Name of the Respondents Donaldson, Lufkin & Jenrette Securities Corporation, Credit Suisse First Boston Corporation, Michael Vance Noble and Matson Forrest Schwalm Name of the Claimant Consolidated with: Michael J. DeNunzio Case Number

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Case Number: 02-06856 Daniel J. Higgins Name of the Respondent Hearing Site: Atlanta, Georgia Fahnestock & Co. f/k/a Josephthal & Co., Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Daniel J. Higgins, hereinafter referred to as "Claimant": Charles M. Dalziel, Jr., Esq. and Joseph B. Alonso, Esq., Brock, Clay,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-06853 Harry Klauber IRA Rollover, Rittenhouse Financial Services Harry Klauber IRA Rollover, Roger Engemann & Assoc. Mgmt. Harry Klauber IRA Rollover, Mitchell Hutchins Asset Mgmt. Names of the Respondents Hearing Site: Boca Raton, FL UBS Financial Services Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PA

Helen Swanes (CMnmt) v. 21st Century Financial Services, Inc. and Charles Mazdotti Hearing Site: New York, New York Nature of Ike Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimast Helen Swanes ("Swanes") hereinafter referred to as "Claimant": Howard M. RoscnMd, Esq., Famwngton, CT. Respondents 21st Century Financial Services, Inc. ("21 st Century") and Charles Mazziotti OMazziotif) hereinafter collectively referred to as "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the-Oaimant Cass^nd^ej:: 02-06849 Wachovia Securities, LLC Hearmg-Sits: Dallas, Texas' John E.Dudley FPRFSFNTATTON Claimant Wachovia Securities, LLC ; hereinafter referred to as "Claimant": Douglas D. Callaway, Esq., of Wachovia Securities Inc., located in Richmond, Virginia. ! I i Respondent John E. Dudley, hereinafter referred to as "Respondent": Did

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-06848 Anwer K. Soofi Asim K. Soofi Names of the Respondents Hearing Site: Tampa, Florida Jack Shone, Jr. Kim Early Kenneth I. Chenault American Express Financial Advisors, Inc. American Express Financial Corporation Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Anwer K. S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Mahmood Choudhury Meghna Investments, L.P. Cabochon Properties, L,P. Case No. 00-041 55 Charles SchwalT& Company, Inc. Hearing Site- Philadelphia, Pennsylvania OF PAPTTTTS Claimants, Mahmood Choudhury, Meghna Investments, L.P., and Cabochon Properties, L.P., hereinafter collectively referred to as "Claimants": Erwin Conn, Esq., Cohn & Cohn, Chicago, Illinois.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf tn^ Plairnant Cas^ Nmnher: 02-06B40 Jacqueline P. Gilbert Names nf thp PfiRpnnflents Hearing Site- Raleigh, North Carolina Merrill Lynch, Pierce, Fenner & Smith, Inc. J. Brendan Kelleher Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Jacqueline P. Gilbert, hereinafter referred to as "Claimant", was repr

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Yvella S. Bradshaw Names nf the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. J. Brendan Kelleher Case Nnmhet" 02-06839 Hearing Site- Raleigh, North Carolina Nature of the Dispute: Customer v. Member and Associated Person. RF.PRKSF.NTATTON OF PARTIES Claimant, Yvella S. Bradshaw, hereinafter referred to as "Claimant", was rep

Stipulated Award NASD Dispute Jtesotetion In the Matter of the Arbitration Between: Name of the Claimant Louise L. Welborn ; nf the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. J. Brendan Kelleher Case Number! 02-06838 ing Ske: Raleigh, North Carolina Nature of the Dispute: Customer v. Member and Associated Person. RFPRF.SFNTATTON OF PARTIES Claimant, Louise L. Welborn, hereinafter referred to as "Claimant", was represented by