Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gary DelPiano, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Thomas Bishop, (Respondents) Case Number: 01-03431 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Gary DelPiano, hereinafter referred to as "Claimant": Mitchell H. Cobert, Esq., a sole practitioner, Morristown, NJ. Claimant originally appeared pro se. Respondents, Merrill Lynch, P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charlene Castello, Claimant v. Charles Schwab & Company, Inc., Respondent Case Number: 01-03615 Hearing Site: Los Angeles. California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Charlene Castello In Propria Persona Gilbert, Arizona For Respondents: Janet T. Epstein, Esq. Charles Schwab & Company, Inc. San Francisco, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peer T. Pederson, Jr. (Claimant) v. Credit Suisse First Boston, (Respondent) Case Number: 02-02000 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Peer T. Pederson hereinafter referred to as "Claimant": Kevin T. Hoffman, Esq., a sole practitioner, Greenwich, CT. Respondent, Credit Suisse First Boston hereinafter referred to as "Respondent": Ronald A. Mysliwi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants: Robert and Susan Martel Robert Martel Names of the Respondents: Morgan Stanley DW Inc. Christopher Ayer Thomas E. Lanter Case Number: 02-01999 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Robert and Susan Martel, ("R&SM"), Robert Martel ("RM"), hereinafter collectively referred to as "Claimants": Arnold Rose

ORIGINAL Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jefifery and Catherine Ray, Claimants v. U.S. Bancorp Piper Jaflray, Inc., Dennis E. Gove, James R. McColley, Jeffrey E. Howell, and Michael J. Bartlett, Respondents Case Number: 01-03081 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimants: Mark S. Davidson, Esq. Williams Kastner & GIbbs Seattle, Washington For Respondents: Steve

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 02-01996 Mary D. Arcari Mary D. Arcari As Trustee for the Anthony S. Arcari Trust Name of the Respondents Hearing Site: Philadelphia, PA Brookstreet Securities Corporation Andrew Gordon MacElhenney REPRESENTATION OF PARTIES Claimants, Mary D. Arcari and Mary D. Arcari as Trustee for the Anthony S. Arcari Trust, hereinafter co

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Charles R. McClelland and 02-01989 Phoenix, Arizona Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Kirk J. Gill John S. Simonson Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Charles R. McClelland ("Claimant") was represented by David C. Anson, Esq. of Anson, Lammers and

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Albert and Elise Baker, Claimants, And Merrill Lynch Pierce Fenner & Smith, Inc, 02-01108 Kirk J. Gill and John Simonson, Phoenix, Arizona Respondents REPRESENTATION OF PARTIES Albert and Elise Baker were represented by David C. Anson, Esq. of Anson, Lammers and Barkley, Tucson, Arizona. Merrill Lynch Pierce Fenner & Smith, Inc.was represented by ToddD. Bro

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01101 The Estate of Barbara C. Duckworth, claimant vs. Morgan Stanley DW, Inc., respondent. ATTORNEYS: For Claimant appeared Neal J. Blaher, Esq., Orlando, FL. For Respondent appeared in-house counsel, Thomas Croke, Esq., New York, NY. DATE FILED: February 25, 2002 CASE SUMMARY: Claimant alleged that respondent failed to timely liquidate the AIM Euroland Growth Fund as requested. Claiman

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01100 InvestPrivate, Inc., claimant vs. Brian Leider, respondent. ATTORNEYS: For Claimant appeared Michael S. Colombo, StreetWide Asset Recovery Group, Inc., New York, NY. Respondent did not respond to the Statement of Claim. DATE FILED: February 25, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed on a promissory note upon termination of his employment