Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Jeffrey H. Cooper and Jeffrey H. Cooper & Renee Cooper JTWROS Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack Zaffos Case Number: 02-05450 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES' For Jeffrey H.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riaimaTit Pase Number- 02-05447 Nancy D. Morrow Name of the Respondents Hearing Site: Charlotte, North Carolina First Union Brokerage Services, Inc. k/n/a Wachovia Securities, Inc., and Cynthia L. Wadkinson RFPRFSFNTATTON OF PAKTTF.S Claimant Nancy D. Morrow, hereinafter referred to as ("Claimant"), was represented by Scott Tippett, Esq., House & Tippett, PLL

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: r*lflimantg P.flgp fifrirnhflr' 02-5445 Deborah Persiani and Dennis Persiani A.G. Edwards & Sons, Inc. H^r^g ftite- Chicago, Illinois and Stefan Buganjy Off PAPTTF.S Claimants, Debra Persiani and Dennis Persiani and ("Claimants") were represented by Howard Stein, Esq., located in Chicago, Illinois. Respondents, A.G. Edwards & Sons, Inc., ("AGE") and ( "Buganjy"),

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05439 Fahnestock & Co. Inc., Claimant vs. Patricia A. Clark and Oba D. Johnson, Respondents. ATTORNEYS: " For Claimant, Fahnestock & Co. Inc., ("Claimant") appeared W. Scott Turnbull, Esq., of the Law Offices of Miller, Canfield, Paddock and Stone, PLC, Detroit, MI. Respondents, Patricia A. Clark and Oba D. Johnson, (collectively "Respondents"), did not respond to the Statement of Claim.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05435 Gina Lippis, claimant vs. First Colonial Securities Group, Inc., respondent. ATTORNEYS: For Claimant appeared Peter T. Jensen, Esq., New York, NY. For Respondent appeared in-house counsel, Richard Campanella, Esq., Boca Raton, FL. DATE FILED: September 12, 2002 CASE SUMMARY: Claimant alleged that respondent failed to pay claimant her bonus pursuant to the terms of the Employment Ag

Award NASD Dispute Resolution In the Matter of the Arbitration Between: M.P. Press, Inc. (Claimant) vs. Morgan Stanley DW Inc. and Sheldon Kramer (Respondents) Case Number: 02-05434 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant M.P. Press, Inc., hereinafter referred to as "Claimant": Stephen H. Werner, Esq., New York, NY. Respondents, Morgan Stanley DW Inc. ("MSDW") and Sheldon Kramer ("Kramer"), hereinafter collectively re

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Philip Wu and Kao Wu, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and John Dauphin, Respondents Case Number: 02-05430 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Thomas D. Mauriello, Esq. Law Offices of Thomas D. Mauriello San Francisco, California Fo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Philip Wu and Kao Wu, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and John Dauphin, Respondents Case Number: 02-05430 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Thomas D. Mauriello, Esq. Law Offices of Thomas D. Mauriello San Francisco, California For Respon

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Serena Mondavi Ventura, Claimant v. Deutsche Bank Securities, Inc. and Kent T. Baum, Respondents Case Number: 02-05429 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Reed H. Bement, Esq. Law Offices of Reed H. Bement, Inc. San Francisco, California For Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eugene S. Eldridge, individually and as Trustee of the Eldridge Family Trust, U.S. Bank of Washington, N.A., as Corporate Co-Trustee of the Eldridge Family Trust, Arthur K Eldridge and Linden G. Eldridge as designated Beneficiaries and Successor Co-Trustees of the Eldridge Family Trust, and the Eldridge Family Trust, Claimants v. Bruce R. Talley, J. Patrick Flynn, Pamela J. Holtzclaw, J