Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06539 Anna Wenk, individually and Peter J. Wenk, attorney-in-fact for Anna Wenk under DPOAdtd 10/3/02 Names of the Respondents Hearing Site: Tampa, Florida UBS PaineWebber Incorporated C. Schiller Martin REPRESENTATION OF PARTIES For Anna Wenk, individually and Peter J. Wenk, attorney-in-fact for Anna Wenk under DPOA dtd 10/3/02,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant David Wemhoff Name of the Respondents Edward D. Jones & Co, An drew J. Arkfeld Case Number: 02-06536 Hearing Site: Omaha, Nebraska Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, David Wemhoff (Claimant) was represented by Gail E. Boliver, Esq., Boliver Law Firm, Omaha, Nebraska. Respon

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06535 Timothy J. LoBello, Claimant vs. Morgan Stanley DW, Inc., Matthew J. Schleichkorn, Connie Stevens and Filipe L. Camejo, Respondents. ATTORNEYS: Claimant appeared pro se. Aliso Viejo, CA. For Respondents appeared Keith Guilfoyle, in-house Counsel, New York, NY. DATE FILED: October 31, 2002 CASE SUMMARY: Claimant alleged that Respondents forged his signature and submitted it for

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: •3- Annette R. Cheron (Claimant) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and Victor Lambert (Respondent) Case Number: 02-06534 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Annette R. Cheron ("Cheron") hereinafter collectively referred to as "Claimant":

Award NASD Dispute Resolution In the Matter of the Arbitration Between: AMR Capital Trading Corporation (Claimant) vs. Jonathan Botier (Respondent) Case Number: 02-06533 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, AMR Capital Trading Corporation, hereinafter referred to as "Claimant": Michael H. Ference, Esq., Sichenzia Ross Friedman Ference LLP, New York, NY. Respondent, Jonathan Botier, hereinafter referred to as "Respondent"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sharon L. Huelsman (Claimant) v. Navellier & Associates, Inc., Louis G. Navellier, Shawn Price, Prim Capital Corporation, Carolyn C. Kaufman, CFP, CPA, Kelly Smith, and Michael T. O'Neill (Respondents) Case Number: 02-06532 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Non-Members and Associated Persons. REPRESENTATION OF PARTIES Claimant Sharon L. Huelsman (

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Names of Claimants: Ronald J. Dorris and Peggy A. Dorris Case No: 00-04123 Name of Respondent: Bear Stearns Securities Corp. Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Ronald J. Dorris and Peggy A. Dorris, hereinafter referred to as "Claimants": James D. Keeney, Esq., James D. Keeney, P.A., Sarasota, Florida. For Bear Stearns Securities

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06528 Murry M. Shapero, Capital Group, L.P. Claimant vs. Terry L. Hudson, Robert A. Hunt, Sally Ann Hunt, Barrington and James A. Mitarotonda, Respondents. ATTORNEYS: For Claimant, Munjy Lehman & Eilen, LLP M. Shapero ("Claimant"), appeared Scott D. Stechman, Esq., of the firm , Uniondale, NY. Respondents, Terry "Respondents"), L. Hudson, Robert A. Hunt and Sally

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William T. Caspar (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Paul Ceglarski, Linda Houston, Stanley O'Neal, and David Komansky (Respondents) Case Number: 02-06525 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant William T. Caspar ("Caspar") hereinafter referred to as "Claimant appe

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elaine Bevan, (Claimant) v. Richard Wachowiak, Barbara Zsiros, Thomas Allers, Jerrold Kopsa, Carl Jordan and Chris Randall, (Respondents) Case Number: 02-06523 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Persons REPRESENTATION OF PARTIES Claimant, Elaine Bevan ("Bevan"), hereinafter referred to as "Claimant": Andrea R. Polvino, Esq.