Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Craig Dirgo Case No. 99-00393 Name of Respondent Charles Schwab & Company, Inc. Name of Third Party Respondent Larry John Dirgo REPRESENTATION OF PARTIES For Claimant Craig Dirgo ("Dirgo"): John N. Buso, Esq. of John N. Buso, P.A., West Palm Beach, Florida. For Respondent Charles Schwab & Company, Inc. ("Charles Schwab"); Neil S. Baritz, Esq. of

\ NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-00392 George G. Hunt & Mary M. Hunt, claimants vs. Quick & Reilly, respondent. ATTORNEYS: Claimants George G. Hunt & Mary M. Hunt (collectively "Claimant") appeared Pro Se., Charlotte, NC. Respondent, Quick & Reilly ("Respondent"), appeared through its Vice President/Director of Arbitration Douglas S. Flaherty, New York, NY DATE FILED: January 27, 1999 CASE SUMMARY: Claim

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, Inc. f/k/a Interstate/Johnson Lane Corporation Case No. 99-00390 Name of Respondent Raymond James & Associates, Inc. REPRESENTATION OF PARTIES For Wachovia Securities, Inc. f/k/a Interstate/Johnson Lane Corporation ("Wachovia"), hereinafter referred to as Claimant: Terry R. Weiss, Esq. of the law firm of Long Aldridge & Norman LLP,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Thomas Paige Holloway and Dana Holloway Case No. 99-00387 Names of Respondents HJ. Meyers & Co., Inc. J. Bernard LoVerde, Jr. Richard Hodges REPRESENTATION OF PARTIES For Thomas Paige Holloway and Dana Holloway; (the "Holloways"), hereinafter collectively referred to as "Claimants": Simon S. Kogan, Esq. and Brian J. Neville, Esq. of Taubma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert L. Skegrud, Claimant vs. Duke & Company, Inc., Thomas J. Heaphy, Keith Connolly, Abraham M. Mirman and Victor M. Wang, Respondents Case Number: 99-00386 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: For Respondent Duke & Co., Inc. For Respondent Thomas J. Heaphy

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-00382 Barry A. Saunders, claimant vs. Charles Principato and R.D, White & Co., respondents. ATTORNEYS: Claimant appeared Pro Se., Hamden, CT. For Respondents appeared Marc D. Powers, Esq. of the firm Parker Duryee Rosoff & Haft, New York, NY. DATE FILED: January 27, 1999 CASE SUMMARY: Claimant alleged that respondents failed to execute a sell order on December 9, 1998. Claimant

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03290 Nicassio Family Trust, claimant vs. Fidelity Brokerage Services, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se through Michael Nicassio and Kathleen Nicassio, Trustees, Santa Barbara, CA. For Respondent appeared Gail A. Marshall-Smith, Esq., of the firm Bingham Dana, Boston, MA. DATE FILED: August 2, 2000 CASE SUMMARY: Claimant alleged respondent failed to sell 50

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Charles Schwab & Company, Inc., Claimant v. R. Thomas Morrison, Respondent Case Number: 99-00379 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Richard A. Karoly, Esq. Charles Schwab & Co., Inc. San Francisco, California For Respondent: Did Not Appear CASE INFORMATION Statement of Claim filed: January 27, 1999 Claimant's Uniform Submissio

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Peggy Noble Case No. 99-00377 Name of Respondent Stuart, Coleman & Co., Inc. REPRESENTATION OF PARTIES For Claimant: Randall W. Henley, Esq., West Palm Beach, FL. For Respondent: Victor T, Siciiranza, Director of Compliance and Executive Viije President, Stuart, Coleman & Co., Inc., New York, NY. CASE INFORMATION Statement of Claim filed on or about

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Roberto Engstrom, (Claimant) vs. Sutro & Co. Incorporated, and Matthew Aragon Brown, (Respondents). Case Number: 99-00371 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Roberto Engstrom hereinafter referred to as "Claimant": Brett A. Alcala, Esq., Birnbaum, Umeda & Alcala, Redwood City, California. Sutro & Co. Incorporated, and Matthew Aragon Brown hereinafter