Award NASD In the Matter of the Arbitration Between: Names of the Claimants Madeline Wall, Amy Wall Bobker and Marcia Wall Name of the Respondent Mark Simon Case Number: 02-06319 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Madeline Wall, Amy Wall Bobker and Marcia Wall, hereinafter collectively referred to as "Claimants": Darren C. Blum, Esq., Law Offices of Darren C. Blum, P.A., Plantation, Florida. For Mark Simo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Heinz Guenther Pink, Claimant v. Raymond James Financial Services, Inc., John H. Chilcott and Lance C. Newby, Respondents Lance C. Newby, Counter-Claimant v. Heinz Guenther Pink, Counter-Respondent Lance C. Newby, Third-Party Claimant v. Jonathan Masura Emura, Ching-Hui "Candy" Wang, and Shawn B. McKay, Third-Party Respondents Case Number: 02-06313 Hearing Site: Honolulu, Hawaii

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Landis S. Everson, Turstee for the Landis S. Ever son Family Trust, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Martin Barry Epperson, Respondents Case Number: 02-06312 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Sig M. Haddad, Esq. Attorney at Law San Lui

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Pase Number 02-06309 Edward J. O'Neill Carla C. O'Neill Names nf the Respondents Hearing Site: Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Kevin W. Kolmer John R. Pierce, Jr. Joseph P. Brooks Susan Bonetto Nature of the Dispute: Customers v. Member and Associated Persons. RF.PRFSF.NTATION OFPARTTFS Claimants,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Marvin E. and Carol J. Simpson Case No. 00-04103 Name of Respondent Investment Management & Research, Inc. Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Marvin E. and Carol J. Simpson hereinafter collectively referred to as "Claimants": Joel A. Goodman, Esq. of Goodman & Nekvasil, P.A., Clearwater, FL. For Investment Management & Research, Inc. ("IMR")

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the riaimantq Case Number • 02-06308 Kathryn Slobodian Stephen M. Solomich Names: of the Respondents Hearing Site- Pittsburgh, PA Solomon Smith Barney n/k/a Citigroup Global Markets, Inc. and Cheryl R. Schwarzwaelder Nature of the Dispute: Customers vs. Member and Associated Person RFPRF.SF.NTATTON OF PARTIES Claimants, Kathryn Slobodian and Stephen M. Solomic

CASE: 02-06301 Emilio A. Aljure, claimant vs. Datek Online Financial Services, Chris Russell, and Michael McGrath, respondents. ATTORNEYS: Claimant appeared pro se, Cali } S.A. Colombia. For Respondents appeared Usman S. Mohammed, Esq. of the firm Jones Bell Abbott Fleming & Fitzgerald, Los Angeles, CA. DATE FILED: October 21, 2002 CASE SUMMARY: Claimant alleged that respondents executed a market order when he placed a trailing order to sell

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06300 Robert Keese, claimant vs. Kurt Emerick and Raymond James Financial Services, Inc., respondents. ATTORNEYS: Claimant appeared pro se, Corpus Christi, TX. For Respondents appeared in-house counsel, Rick A. Buchwalter, Esq., St. Petersburg, FL. DATE FILED: October 21, 2002 CASE SUMMARY: Claimant alleged that respondents invested his retirement funds in unsuitable stocks for someo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06298 George T. Chen, Claimant vs. Robert S. Quinn and W.R. Hambrecht & Co., Respondents. ATTORNEYS: For Claimant appeared Alvin L. Fishman, Esq., of the Law Offices of Resler, Sandmann & Fishmann, San Francisco, CA. Respondents, Robert S. Quinn and W.R. Hambrecht & Co., (collectively "Respondents") appeared pro se., San Francisco, CA. DATE FILED: October 21, 2002 CASE SUMMARY: Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter Romanelli v. Gruntal & Co., Ryan, Beck & Co., LLC., and Robert Lessen Case Number: 02-06295 Hearing Site: New York, NY Nature of the Dispute: Customer vs. Terminated Member, Member and Associated Person. REPRESENTATION OF PARTIES Claimant Peter Romanelli ("Romanelli") referred to as "Claimant": James A. Prestiano, Law Offices of James A. Prestiano, Esq., New York, New York