Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Willaim H. Shoemaker and The Estate of Dorothy C. Shoemaker, (Claimants) v. JWGenesis Financial Services, Inc., David L. Avidon, Glenn I. Beyer, Justyn S. Feldman, Hugh O'Callaghan, Alan L. Elkes, David Mugrabi and Dalton Kent Securities Group, Inc., (Respondents) Case Number: 00-04082 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant Willaim H. Shoemaker

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Alfred Berger and Dorothy Berger Names of the Respondents Salomon Smith Barney, Inc. Richard Strauss Case Number: 02-06152 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES For Alfred Berger ("AB") and Dorothy Berger ("DB"), hereinafter collectively referred to as "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Keith James Hale and Linda Kay Hale, Claimants v. Gary Lloyd Smith dba Invest Quest, Respondent Case Number: 02-06144 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Associated Person For Claimants: For Respondent: REPRESENTATION OF PARTIES Keith James Hale Linda Kay Hale In Propria Persona Glen Ellen, California Michael J.M. B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Npvin Katherine Golshani, Claimant v. Morgan Stanley DW Inc., Respondent Case Number: 02-06143 Hearing She: Los Angeles, California Nature of the Dispute: Customer v. Member For Claimant: William F. Davis, Esq. Law Offices of William F. Davis Los Angeles, California For Respondent: Edward S. Kim, Esq. Stradling Yocca Carlson & Rauth Newport Beach, California CASE INF

1 f AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Landmark Bank, N.A. and 02-06139 Oklahoma City, Oklahoma Name of Respondents Linsco/Private Ledger Corp. Michael A. Kincheloe Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Landmark Bank, N.A. ("Claimant") was represented by Todd Taylor, Esq., Crowe & Dunlevy, Oklahoma City, Oklahoma. Lin

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name o f Claimants • • " • • - ' . Calvin G. Jr. and Cheryl D. Kinchen and Monument Capital Mortgage, Inc, And -.. . , , . 02-06137 Nashville, Tennessee. Name of Respondent ' • UBS Financial Services Inc. f/k/a UBS PaineWebber, Inc. . . Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Calvin G. Jr. and Chery

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06124 Richard Darling, Claimant v. IDS Life Insurance Company & Patnck Mooney, Respondents, ATTORNEYS: Claimant, Richard Darling. ("Claimant"), appeared pro se. Summerville. SC. For Respondents, IDS Life Insurance Company & Patnck Mooney, ("Respondents"), appeared Gary R. Irwin, Esq., Minneapolis, MN. NATURE OF DISPUTE: Customer v. Member & Associated Person DATE FILED: October 14. 2002

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert Furlong and 02-06120 Phoenix, Arizona Name of Respondents A.G. Edwards & Sons, Inc. Gerry McNeill Thornbro Nature of the Dispute; Associated Person vs. Member; Associated Person REPRESENTATION QF PARTIES Robert Furlong ("Claimant") was represented by James M. Jellison, Esq., Schleier, Jellison & Schleier, P.C., Phoenix, Arizona. A.G. Ed

F Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Renee Volker-Rector, as Conservator of Sara Janelle Schodde and Kelly Anne Schodde, her minor children Name of the Respondents Wells Fargo Brokerage Services, Inc. (f7k/a Norwest Investment Services) and Tracy L. Frank Case Number- 02-06119 Hearing Site: Albuquerque, New Mexico NATTTRF OF TfcTSPITTF Customer vs. Member Firm and Ass

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06116 Robert S.Cuillo Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Morgan Stanley Dean Witter & Co. n/k/a Morgan Stanley Morgan Stanley & Co. Incorporated Jerry B. Hartman Herbert Hartman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES