Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Agnes M. O'Neill, Claimant v. Prudential Securities, Inc. (n.k.a. Prudential Equity Group, LLC), Mark W. Sloan, Mark Ewing, and Charles J. McFadden, Respondents Case Number: 02-06790 Hearing Site: San Francisco., California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: J. Kevin O'Neal Lafayette, California

In the Matter of th C. James Jensen, Respondents Case Number: 02- Award NASD Dispute Resolution Arbitration Between: Claimant v. First Montauk Securities Corporation and Michael Jay Strasser, 36787 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondent Michael Jay Strasser: Statement of Ans Robert L. Gonser, Esq. Resol

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary Elizabeth Brunson and Barbara Jane Duncan, Claimants v. Wachovia Securities, LLC flea First Union Securities, Inc. and Gary T. Hoimquist, Respondents Case Number: 02-06786 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: John K. Duncan, Esq. Long Beach, California For Responde

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Lucian Lamar Sneed Glenda B. Sneed Name of the Respondent Fidelity Brokerage Services, LLC, f/k/a Fidelity Brokerage Services, Inc. CaseJNumber: 02-06782 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Lucian Lamar Sneed and Glenda B. Sneed, hereinafter collectively referred to as

r Award NASD Dispute Resolution In the Matter of the Arbitration Between: Renee Garrick (Claimant) v. Joseph Gunnar & Co., LLC., Donald M. Selkin, and Steven J. Mirlas a/k/a/ Steven J. Meyers (Respondents) Case Number: 02-06779 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Renee Garrick ("Garrick") hereinafter referred to as "Claimant": Howard R. Reiss, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Number: 02-06776 Oxford Financial Group, formerly known as Investors Trading Corp. SWS Securities, Inc. Hearing Site: Dallas, Texas NATTTRF OF THF Member Firm v. Member Firm OF Claimant Oxford Financial Group, formerly known as Investors Trading Corp., hereinafter referred to as "Claimant": Ben L. Krage, Esq. of the firm of Krage & Janvey, L.L.P., located in Dallas,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06774 Greg Scalia, Al Scalia, and Corrine Scalia Name of the Respondents Hearing Site: Chicago, Illinois Wunderlich Securities, Inc., Chicago Capital, Inc., CCI Holdings, Inc., Lazlo A. Nagy, Thomas C. Sanders, Sr., Lee A. Korhumel, and Stephen J. Kennedy NATURE OF THE DISPUTE Customers v. Member Firms, a Non-Member Firm,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marvin Morrow (Claimant) v. R.J. Steichen & Co. and Miles U. Braufinan (Respondents) Case Number: 02-06772 *" Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Marvin Morrow ("Morrow") hereinafter referred to as "Claimant": Richard A. Roth, Esq., The Roth Law Firm, New York, NY. Previously represented

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Karen Hohlfelder (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 02-06771 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Karen Hohlfelder ("Hohlfelder") hereinafter referred to as "Claimant": Douglas A. Kutsko, Esq., Brian P. Biggins & Associates Company, L.P.A., Rocky River, OH. Respondent

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Barbara Benoit and Case Number: 02-06769 Hearing Site: Houston, Texas Names of Respondents A.G. Edwards & Sons, Inc. Ricky R. Moore NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Barbara Benoit ("Claimant") was represented by Bertrand C. Moser, Esq., of the Law Offices of Bertrand C. Moser, of Houston