AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Michael J. Smith and Lucy C. Smith and 02-05737 Omaha, Nebraska Name of Respondents Linsco/Private Ledger Corp. Carson Wealth Management Group Ronald L. Carson, Jr. Nature of the Dispute: Customers vs. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES Michael J. Smith and Lucy C. Smith ("Claimants") were represented by Gail E. Bo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Eugene and Patty S. James and Gregory N. and Jennifer E. James and 02-05736 Louisville, Kentucky Name of Respondents Emmett A. Larkin Company, Inc. Tiche Capital Strategies David J. Schulte Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Eugene and Patty S. James and Gregory N. and Jennifer E. James

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Peter V. Lundstrom and Joyce C, Denham and The Coracle Foundation, Claimants vs. U.S. Bancorp Piper Jaffray, Inc. d/b/a Piper Jaffray, Respondent Case Number: 00-04044 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimants: James H. Kaster, Esq. Tiffany A. Sanders, Esq. Nichols Kaster & Anderson, PULP Minneapolis, Minnesota For Respondent: Brian

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant J. Sheridan Stewart and Case Number: 02-05734 Hearing Site: Troy, Michigan Names of Respondents J.J.B. Milliard, W.L. Lyons, Inc. and Carol Metz NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES J. Sheridan Stewart ("Stewart") was represented by Kevin J. Kenney, Esq., and Christopher J. Hensien, Es

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claimant - P^gp Num^r: 02-05733 Wachovia Securities, LLC , ring Si'tfv Dallas, Texas Reginald D. Ford Claimant Wachovia Securities, LLC, hereinafter referred to as "Claimant": Douglas D. Calloway, Esq. of Wachovia Securities Inc., located in Richmond, Virginia. Respondent Reginald D. Ford, hereinafter referred to as "Respondent": Did not appear. Statement of Claim filed: Sep

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the flaimant Pasft Number 02-05732 Wachovia Securities, LLC Warne nf the Respondent Hearing Site; Dallas, TX Adnan A. Sardar NATTIRF OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Claimant Wachovia was represented by Douglas D. Callaway, Esq., Wachovia Securities, LLC, Wachovia Securities Inc. Riverfront Plaza-West Tower. 901 Eas

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-05730 Irving F. Levitt, Individually Irving F. Levitt as Co-trustee of the Levitt Charitable Remainder Annuity Trust U/A dated 9/22/95 Irving F. Levitt as Trustee of the Irving F. Levitt Revocable Trust U/A dated 3/1/96, as amended Florence C. Levitt, Individually Florence C. Levitt as Co-trustee of the Levitt Charitable Remainder A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: s Michael J. Maura (Claimant) v. Sharpe Capital, Inc. and U.S. Clearing (Respondents) Case Number: 02-05727 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Michael J. Mauro, hereinafter referred to as "Claimant": Brian H. Reis, Esq., Law Office of Brian Reis, New York, NY. Respondent Sharpe Capital, Inc. ("Sharpe"): Michael Simon, Esq., Sharpe Capital, Inc.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, Inc., Claimant v. Al Feke, Respondent Case Number: 02-05724 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy N. Will, Esq. Albert & Will, LLP Tonance, California For Respondent: Al Feke In Propria Persona Irvine, California CASE INFORMATION Statement o

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claremont Financial Services, Inc. (Claimant) v. Lehman Brothers, Inc., Walter Gerasimowicz, and Doreen Benson (Respondents) Case Number: 02-05719 Hearing Site: Boston, Massachusetts Nature of Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Claremont Financial Services, Inc. ("Claremont") hereinafter referred to as "Claimant": Rob