Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants P.ase Number 02-06521 John G. Turcic, Linda K. Turcic and the John G. Turcic IRA Names of the Respondents Rearing Site • Pittsburgh, PA PNC Advisors/PNC Financial Services Group and PNC Brokerage Corporation Nature of the Dispute: Customers vs. Non- Member and Terminated Member REPRESENTATION OF PARTIES Claimants, John G. Turcic, Linda K. Turcic an

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Scott Grady Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 02-06518 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Scott Grady ("Grady"), hereinafter referred to as "Claimant": David A. Weintraub, Esq., David A. Weintraub P. A., Ft. Lauderdale, Florida.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Andrew Lowy, D.P.M. and 02-06513 Phoenix, Arizona Name of Respondents H & R Block Financial Advisors Phil Delord Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Andrew Lowy, D.P.M. ("Claimant") was represented by Robert D. Mitchell, Esq., Mitchell Law Offices, Phoenix, Arizona. H & R Block Financial A

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Raymond R. Housh and Nancy W. Housh and 02-06507 Omaha, Nebraska Name of Respondents Raymond James Financial Services, Inc. Winfield G. Mayne Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Raymond R. Housh and Nancy W. Housh ("Claimant") was represented by Gail E. Boliver, Esq., Boliver Law Firm, Marsh

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06506 Richard P. and Lillian B. Bachman, claimants vs. Charles Schwab & Co., respondent. ATTORNEYS: Claimants appeared pro se through Richard P. Bachman, Gulf Breeze, FL. For Respondent appeared in-house counsel, Gregory M. Scanlon, Esq., San Francisco, CA. DATE FILED: October 29, 2002 CASE SUMMARY: Claimants alleged that he invested in AT&T CDA Inc., a bond respondent recommended. Claim

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Leerink, Swann, Garrity, Sollami, Yaffe & Wynn, Inc. (Claimant) vs. Michael A. Conti (Respondent) Case Number: 02-06503 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant Leerink, Swann, Garrity, Sollami, Yaffe & Wynn, Inc. hereinafter referred to as "Claimant": John T. Fitzgerald, Esq., in-house counsel, Boston, MA. Respondent Michael A. Conti her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Leerink, Swann, Garritv, Sollami, Yaffc & Wynn, Inc. Case Number: 02-06502 vs. Jason D. Smith Hearing Site: Boston, MA f Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Leerink, Swann, Garrity, Sollami, Yaffe & Wynn, Inc., hereinafter referred to as "Claimant": John I. Fitgerald, Esq., Leerink, Swann & Company, Boston, MA. Respondent, Jason D. Smith,

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 00-04120 Donald P. McDermott Names of the Respondents Hearing Site: Boca Raton, FL Salomon Smith Barney, Inc. and Marvin Froot REPRESENTATION OF PARTIES For Donald P. McDermott, hereinafter referred to as "Claimant," appeared pro se. For Respondents Salomon Smith Barney, Inc. ("SSB") and Marvin Froot ("Froot"), hereinafter collectively referred to as "Responde

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Angelo Barrera & Rosalina J. Barrera JTWROS Rickie Crawley & Angelo Barrera JTWROS Ashley Magee Angelo Barrera Jennifer Crawley Maria I. Barrera Naomi Barrera Rosa J. Johnston & Angelo Barrera JTWROS Name of the Respondent E*Trade Securities, LLC Case Number: 02-06497 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Joyce Stern as Executrix of the Estate of Estelle Blanks Names of the Respondents Wachovia Securities, Inc. f/k/a First Union Brokerage Services, Inc. Marva Cedeno Case Number: 02-06492 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joyce Stern a