Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, Inc., Claimant v. John A. Hines, Respondent Case Number: 02-06060 Hearing Site: Seattle, Washington For Claimant: For Respondent: Douglas D. Callaway, Esq. Wachovia Securities Inc. Richmond, Virginia John A. Hines In Propria Persona Maple Valley, Washington CASE INFORMATION Statement of Claim filed: October 10,2002 Claimant's Unif

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Morton E. Harris and Case Number: 02-06056 Hearing Site: Troy, Michigan Names of Respondents Bane One Capital Markets, Inc. and James G. Craven NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Morton E. Harris ("Claimant") was represented by Andrew J. Abrams, Esq., Sugar, Friedberg & Felsenthal, Chicago, Ill

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant The Ray Slavin Revocable Trust Case No. 00-04075 Names of Respondents Morgan Stanley Dean Witter, Inc. J.W. Ray Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For The Ray Slavin Revocable Trust, hereinafter referred to as "Claimant": Robert Wayne Pearce, Esq., Robert Wayne Pearce, P.A., Boca Raton, Florida. For Morgan Stanle

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Cynthia Jarrard And 02-06055 Kansas City, Missouri Name of Respondents Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Cynthia Jarrard ("Claimant") was represented by Gordon D. Gee, Esq., Seigfred, Bingham, Levy, Selzer & Gee, Kansas City, Missouri. Prudent

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Darryl Hastings and Susan Hastings and Respondents H&R Block Financial Advisors, Inc. f/k/a Olde Discount Corporation, and James T. Falardeau Case Number: 02-06054 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Darryl Hastings and Susan Hastings ("Claimants") were repr

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Wachovia Securities, Inc. Case Number: 02-06053 Name of the Respondent Hearing Site: Oklahoma City, Oklahoma Grant E. Burget Nature of the Dispute: Member and Associated Person REPRESENTATION OF PARTIES Claimant, Wachovia Securities, Inc. (Claimant) was represented by Douglas D. Callaway, Esq. Wachovia Securities, Inc., Richmond, Virginia.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Wachovia Securities, LLC v 02-06052 Denver, Colorado Respondent Steven P. Jensen REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant") was represented by Douglas Callaway, Esq., of Wachovia Securities, Inc., Richmond, Virginia. Steven P. Jensen ("Respondent") did not appear. CASE INFORMATTON The Statement of Claim was filed on or about O

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donna Partenope (Claimant) v. James Niedzwiecki, David Clapp, Reich & Co., Inc., First Montauk Securities Corp., Cantone Research, Inc., and Sharpe Capital, Inc. (Respondents) Case Number: 02-06047 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimant Donna Partenope ("Partenope") hereinafter referred

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald L. Edwards (Claimant) v. Ehrenkrantz King Nussbaum, Inc. and Dimitrios (Jimmy) Aivaliotis (Respondents) Case Number: 02-06046 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Ronald L. Edwards ("Edwards") hereinafter referred to as "Claimant": Michael R. Schmidt, Esq., Cohen, Todd, Kite, &

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Howard and Nancy Goldfaden and Names of Respondents RBC Dain Rauscher, Inc. Charles R. Federman and Steven J. Kus Case Number: 02-06036 Hearing Site: Troy, Michigan NATURE OF DISPUTE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Howard and Nancy Goldfaden ("Claimants") were represented by Joel H. Kaufman, Esq.,