NATIONAL ASSOCIATION OF SECURITIES DEALERS OFFICE OF DISPUTE RESOLUTION — 02-05067 ViOt AM SMITH, | 1 I ARBITRATION AWARD AND ORDER Claimant, vs. LOUIS SMALLE Respondent. FOREXPUNGEMENT This Matter comes before ihe Arbitrator pursuant to the parties' "Stipulation For Dismissal of All Claims and Withdrawal of All Allegations and Request for Expungement". The Arbitrator, having considered the parties' "Stipulation for Dismissal of All

Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Montauk Securities Corp., (Claimant) v. Ron Harris and Joseph Sceurman, (Respondents) Case Number: 02-05065 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, First Montauk Securities Corp., hereinafter referred to as "Claimant": Joel Levinson, Esq. First Montauk Securities Corp., Red Bank, NJ. Previously represented by Bruce D. Oakes, Law Office of Bruce

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Ingebord F. Chard Names of the Respondents AXA Advisors, LLC The Equitable Life Assurance Society of the United States Nature of the Dispute: Customer vs. Members Case Number: 02-05063 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For Ingebord F. Chard, referred to as "Claimant": Christopher T. Vemon, Esq., Treiser, Collins & Verno

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-05060 Shep Alster, Shep Alster PAS Account, Shep Alster PAS/Harris Bretall, Shep Alster Custodian for Jennifer Alster, Shep Alster Custodian for Jessica Alster, Shep Alster Custodian for Ryan Alster, and Shep Alster IRA Name of the Respondent Hearing Site: Boca Raton, Florida A. G. Edwards & Sons, Inc. Nature of the Dispute: Custome

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Estate of Edward Meyer Names of the Respondents Bear Stearns Securities Corp. Cohmad Securities Corporation Case Number: 02-05059 (consolidated with 02-06185) Hearing Site: Boca Raton, Florida In the Matter of the Arbitration Between: Name of the Claimant Marcia Meyer Names of the Respondents Bear Stearns Securities Corp. Cohmad S

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant The Holohan Family Trust and 02-05054 Phoenix, Arizona Name of Respondents Buckman, Buckman & Reid, Inc. Mark Elliott Robert R. Yasnis Harry J. Buckman, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES The Holohan Family Trust ("Claimant") was represented by Paul S. Gerding, Sr., Esq. and Richard

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William Swilley and Case Number: 02-05052 Hearing Site: Houston, Texas Name of Respondent Morgan Stanley DW, Inc. NATURE OF DISPUTE Customer v. Member Firm William Swilley ("Claimant") was represented by Dennis H. Taylor, Esq., of Shepard, Smith & Bebel, P.C., in Houston, Texas. Morgan Stanley DW, Inc. ("Respondent") was represented by Michael J.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John W. Jump, Claimant v. Sharpe Capital, Inc. and Brian R. Brush, Respondents Case Number: 00-03951 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: John W. Jump In Propria Persona Ventura, California For Respondent Sharpe Capital, Inc.: Yuet Wong, Esq. Sharpe Capital, Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 02-05051 Helen R. Peltason, Harold C. Scharff, Joyce A. Scharff and Gregory S. Matthews, Trustees of the Scharff Family Living Trust dtd 3/4/93 Name of the Respondents Hearing Site: St. Louis, Missouri Edward D. Jones & Co. and Gary V. Schwendinger NATURE OF DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PA

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Kenneth Schweiger v. 02-05049 Minneapolis, Minnesota Respondents U.S. Bancorp Piper Jaffray, Inc. and Ted A. Johnson Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Kenneth Schweiger ("Claimant") was represented by Steven R. Rutzick, of Steven R. Rutzick & Associates, St. Paul, Minnesota. U.S. Bancorp Piper