Award NASD Dispute Resolution In the Matter of the Arbitration Between: A.G. Edwards & Sons, Inc. (Claimant) v. Randall A. Drew (Respondent) Hearing Site: Cincinnati, Ohio Case Number: 02-05107 REPRESENTATION OF PARTIES Claimant, A.G. Edwards & Sons, Inc., hereinafter referred to as "Claimant": William S. Port, Esq., A.G. Edwards & Sons, Inc., St. Louis, MO. Respondent Randall A. Drew did not enter an appearance in this matter. CASE INFORMATION

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between James Mirabile and Vicki Mirabile and James Mirabile, MD, PA, DBA for Women Only Claimants, and Case No. 02-05106 Prudential Securities Inc. and Constance Bernstein Respondents. REPRESENTATION OF PARTIES Claimants James Mirabile and Vicki Mirabile and James Mirabile, MD, PA, DBA for Women Only were represented by James LaSalle, Esq. Respondents Prud

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimant P fls^ Niimhfir 02-05099 Suzette Telatnyk p PpQpnnHf*nffi Hearing-Site: Dallas, Texas Merrill Lynch Pierce Feraier & Smith, Inc.; UBS Financial Services Inc.; Eric C. Edson; and, David B. White PAPTTTT.fi . Claimant Suzette Telatnyk, hereinafter referred to as "Claimant": Janet M. Richmond, of the Loss Recovery Center, located in Incline Village,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary Holzinger, Trustee of the Holzinger Trust U/A dtd 8/25/1978 by Carl & Mary Holzinger Trust-A, Claimant v. Merrill Lynch, Pierce, Fenner and Smith Incorporated, J. Graydon Coghlan, and Quinton Hue Ellis, Jr., Respondents Case Number: 02-05083 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: InvestPrivate, Inc. (Claimant) v. Nick Son (Respondent) Case Number: 02-05080 Hearing Site: New York, N.Y. Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant, InvestPrivate, Inc. ("Claimant"): Eric S. Hutner, Esq., Eric S. Hutner & Associates, New York, NY. Respondent, Nick Son ("Respondent"): Alfred Ferrer m, Esq., Eaton & Van Wink

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ann Gray and Thomas Gray (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Bernard Kavanagh (Respondents) Case Number: 02-05078 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Ann Gray ("A. Gray") and Thomas Gray ("T. Gray")and Ann Gray and Thomas Gray (A & T Gray) hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard J. Starr, (Claimant) vs. Grady and Hatch & Co., Inc. and Karl Jesaitis, (Respondents) Case Number: 00-03959 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Richard J. Starr, hereinafter referred to as "Claimant": Thomas W. Williams, Esq., a sole practitioner, Mahwah, NJ. Respondent, Grady and Hatch & Co., Inc. ("G&H"), did not appear at the hearing in th

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sharon Jiang (Claimant) v. Credit Agricole Indosuez Securities, Inc. (Respondent) Case Number: 02-05077 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Sharon Jiang ("Jiang") hereinafter referred to as "Claimant": Andrew S. O'Connor, Esq., Law Offices of Andrew S. O'Connor, Larchmont, NY. Respondent Credit A

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Luke Angelus, (Claimant) v. Sands Brothers & Co., LTD., Jason Russo, Rafael Vasquez, and Chris J. Braccia, (Respondents) Case Number: 02-05071 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant, Luke Angelus, hereinafter referred to as "Claimant": Brad Jacobs, Esq., Perkins, Smith &

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Alan A. Wanderer and Allergy & Asthma Consultants of the Rockies, P.C. v. 02-05070 Denver, Colorado Respondents Citigroup Capital Markets, Inc. f/k/a Salomon Smith Barney Inc. and Craig G. Zeller REPRESENTATION OF PARTIES Alan A. Wanderer and Allergy & Asthma Consultants of the Rockies, P.C. ("Claimants") appeared pro se. Citigroup Capital Markets, I