Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Dr. Henry Steig Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Donald H. Pizzutello Michael P. Pizzutello Case Number: 02-05857 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Dr. Henry Steig, hereinafter referred to as "Claimant

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Judy Tomchey, Judy C. Tomchey IRA/Roll, Ms. Judy Tomchey Per Rep Est Charles W. Tomchey and 02-05855 Nashville, Tennessee Name of Respondents Washington Square Securities, Inc. Catherine M. Nolen Prudential Securities Inc. n/k/a Prudential Equity Group, LLC Nature of the Dispute: Customers vs. Members and Associated Person REPRESENTATION OF PARTI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-05851 Bennett and Rita Musick Bennett Musick Bennett Musick IRA Rita Musick Rita Musick IRA Name of the Respondent Hearing Site: Orlando, Florida Raymond James Financial Services, Inc. REPRESENTATION OF PARTIES For Bennett and Rita Musick, Bennett Musick, Bennett Musick IRA, Rita Musick, and Rita Musick IRA, collectively ref

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nubia Garrido (Claimant) v. Quest Capital Strategies, Inc. and Sean P. Brown (Respondents) Case Number: 02-05845 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Nubia Garrido, hereinafter referred to as "Claimant": Marcella Silverman, Esq., Lincoln Square Legal Services, Inc., New York, NY.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alfred C. Strohlein and Catherine A. Strohlein, Trustees for the Strohlein Family Trust u/a dated 9/7/91, Claimants v. A.G. Edwards & Sons, Inc., Louis L. Rothey, Sr., and Louis L. "Luke" Rothey, Jr., Respondents Case Number: 02-05842 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Art

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Gregory L. Newman and Case Number: 02-05839 Hearing Location: Houston, Texas Names of Respondents RBC Dain Rauscher, Inc., Michael J. Bakalars, and Scott Caverly NATTTRF OF nTSPTTTF Gregory L. Newman ("Claimant") was represented by Ben A. Wallis, Jr., Esq., The Law Offices of Ben A. Wallis, P.C., San Antonio, Texas. RBC Dain Rausch

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: James Berse and Jane Berse and Case Number: 02-05 833 Hearing Site: Milwaukee, Wisconsin Name of the Respondents: John Riley, Louis Henneck, The Riley-Henneck Group and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Nature of the Dispute: Customers v. Member Firm and Associated Persons. REPRESENTATION OF PARTIES Jame

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05832 Prudential Securities, Inc., claimant vs. Mark W. Gilmer, respondent. ATTORNEYS: For Claimant appeared Steven P, Gomberg, Esq., of the firm Rooks Pitts, Chicago, IL. Respondent appeared pro se, Ann Arbor, MI. DATE FILED: October 1, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed pursuant to the terms of a training agreement. Claim Data Award Data

NASD Dispute Resolution Arbitration No. 00-04055 Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tango Fashions Trading, Ltd.,(Claimant) v. Cambridge Capital, LLC., Cambridge Partners, LLC, Thomas Rossi, Salvatore Clark, Frank DiCarlo, Jon Lee, and James David Clifford, ( Respondents) Case Number: 00-04055 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Tango Fashions Trading, Ltd

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Zinsmeyer Trusts Partnership, Andrew R. Zinsmeyer, Managing Partner Name of the Respondent A.G. Edwards & Sons, Inc. Case Number: 02-05831 Hearing Site: St. Louis, Missouri NATURE OF DISPUTE Customer vs. Member Firm REPRESENTATION OF PARTIES Richard P. Sher, Esq. of Devereux Murphy, LLC located in St. Louis, Missouri represented Zinsmeyer