CASE: 02-05047 Buckman, Buckman and Reid, Inc, Claimant vs. Shawn Arlauckas, Respondent. ATTORNEYS: For Claimant, Buckman, Buckman & Reid, Inc. ("Claimant") appeared Mark J. Astarita, Esq. of the firm Bean & Astarita, Bloomfield, NJ Respondent, Shawn Arluckas, ("Respondent") did not submit an answer to the Statement of Claim. DATE FILED: August 27, 2002 CASE SUMMARY: Claimant alleged that Respondent breached their contractual agreement and failed to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Julie M. Radosevich, Claimant v. Bane of America Investment Services, Inc. and Frank P.P. Au- Yeung, Respondents Case Number: 02-05041 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy D. Murphy, Esq. Law Offices of James Jay Seltzer Emeryville, California For Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David F. Crandafl and Lucy O. Crandall, Trustees U/A for Crandall Family Trust, Claimants v. Edward D. Jones & Co. and James D. Belenis, Respondents Case Number: 02-05038 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: MitcheD S. Ostwald, Esq. Law Offices of Mitchell S. Ostwald San Francisco, California For Respondents: David M. Harris, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barry A. Morguelan, M.D., Individually and as Trustee of the Dr. Barry Morguelan MPP/PS Plan, Claimants v. Prudential Equity Group, LLC tfk/a Prudential Securities Incorporated, Deepen A. Modi, and Kendall D. Higginbotham, Respondents Case Number: 02-05036 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATIO

NASD DISPUTE RESOLUTION AWARD NASP DISPUTE RESOLUTION CASE: 024)5035 Chere Moore, IRA, claimant vs. A. G, Edwards & Sons, Inc. and Samuel E. Gisver, respondents. ATTORNEYS: Claimant appeared pro se, Bakersfield, CA. For Respondents appeared in-house counsel Nuviah Shirazi, Esq., SL Louis, MO. PATE FILED: August 27, 2002 CASE SUMMARY: Claimant alleged that respondents misrepresented facts regarding her account and placed her into investments that wer

Award NASD Dispute Resolution In the Matter of the Arbitration Between:' Name of the Claimants Case Number: 02-05032 Preston J. Valentino and Pamela L. Valentino Name of the Respondents Hearing Site: Chicago, Illinois A.G. Edwards & Sons, Inc. and Don Steriovsky Type of Controversy: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants Preston J. Valentino and Pamela L. Valentino was represented by William F. Fitzpatr

r NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05030 Debra S. Barnes, claimant vs. Tamborello Capital Management, LLC, and TD Waterhouse Investor Services, Inc., respondents. ATTORNEYS: Claimant appeared pro se, Houston, TX. For Respondent TD Waterhouse Investor Services, Inc., appeared in-house counsel, Janis Campanella, Esq., Boca Raton, FL. Respondent Tamborello Capital Management, LLC did not submit to arbitration. DATE

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-05027 Homer Eldridge Judith Eldridge Names of the Respondents Hearing Site: Boca Raton, Florida Jefferson Pilot Securities Corp. Edwin Budd, Sr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Homer Eldridge ("HE") and Judith Eldridge ("JE"), hereinafter collectively referre

NASD DISPUTE RESOLUTION, INC. In The Matter Of Thfe Arbitration Between First Union Securities, Inc., Claimant, v. No.: 00-03946 Randy L. Krenzin, Respondent. COPY STIPULATED AWARD The hearing in this matter was scheduled for January 22 - 24,2002. Prior to the hearing, the parties reached a settlement and have stipulated to the entry of this award by the Arbitration Panel. REPRESENTATION For Claimant: Ronald P. Kane, Esq. Kane & Fisc

Stipulated Award NASD Dispute Resolution In the Matter of tneTSrbitration between: Names of the Claimants Case Number: 02-05025 Thomas M. Milo Trust U/A DTD 7/9/92 Thomas M. Milo Roth IRA Names of the Respondents Hearing Site: Boca Raton, Florida UBS Financial Services, Inc. Beatrice Albrecht Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Thomas M. Milo Trust U/A DTD 7/9/92 ("TMMT") and Thomas