NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01569 R.T. Barnes, Linda Stebbins, et al, Claimants vs. Tom Kukulski, Mark Dennis and Roberta Devorsky, Respondents. ATTORNEYS: Claimants, R.T.Barnes, Linda Stebbins, et al, (collectively "Claimants") appeared pro se through R.T. Barnes, Naperville, IL. For Respondents, Tom Kukulski, Mark Dennis, and Roberta Devorsky, (collectively "Respondents") appeared Morgan Stanley DW, Inc.'s in-hou

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert Balestri and Lori Balestri, (Claimants) vs. Cuna Brokerage Services, Inc. and Frank Ammirato, (Respondents) Case Number: 00-04474 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Robert Balestri ("R. Balestri") and Lori Balestri ("L. Balestri"), hereinafter collectively referred to as "Claimants": John J. Blanchard, Esq., a sole practitioner, Montva

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01564 Joe Gratzle, Claimant vs. Thomas Joseph Heaphy Jr. and GIT Securities Corporation, Respondents. ATTORNEYS: Claimant, Joe Gratzle, ("Claimant") appeared pro se., Phoenix, AZ. Respondents, Thomas Joseph Heaphy Jr. and GIT Securities Corporation, (collectively "Respondents") did not submit an answer to the statement of claim. DATE FILED: March 4, 2003 CASE SUMMARY: Claimant allege

Award NASD Dispute Resolution In the Matter of the Arbitration Between: P. Schoenfeld Asset Management, LLC (Claimant) v. Maxcor Financial, Inc. and CRT Capital Group, LLC (Respondents) Case Number: 03-01562 Hearing Site: New York, New York Nature of the Dispute: Member vs. Members. REPRESENTATION OF PARTIES Claimant P. Schoenfeld Asset Management, LLC ("PSAM") hereinafter referred to as "Claimant": David S. Smith, Esq., Smith Campbell, LLP, New Yor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Maurizio and Salvatore Borruso, Sr. (Claimants) v. Richard Bach (Respondent) Case Number: 03-01561 Hearing Site: Albany, New York Nature of the Dispute: Customers vs. Associated Person. REPRESENTATION OF PARTIES Claimants Michael Maurizio ("Maurizio") and Salvatore Borruso, Sr. ("Borruso") hereinafter collectively referred to as "Claimants": Stuart E. Finer, Esq., Utica. NY.

r NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01560 Derrick Henderson, Claimant vs. Associated Securities Corporation, Respondent. ATTORNEYS: For Claimant appeared Emerson R. Marks, Jr. Esq., of the Law Office of Emerson R. Marks, Jr., Charlottesville, VA. For Respondent appeared Scott J. Ivy, Esq., of the Law Offices of Musick, Peeler, & Garrett LLP, Los Angeles, CA. DATE FILED: March 4, 2003 CASE SUMMARY: Claimant allege

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Domingo Santa Cruz (Claimant) v. William B. Austin, Alan Peterson, and Austin & Associates (Respondents) Case Number: 03-01556 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Domingo Santa Cruz ("Santa Cruz") hereinafter referred to as "Claimant": Lovester Wilson, Esq., Frankfurt/Main,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01555 Ronen Slutzky & Shlomo Slutzky Names of the Respondents Hearing Site: Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Alan Leventen Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Ronen Slutzky and Shlomo Slutzky, hereinafter collectively referred to as

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Theocharis and Demetra Nicolaou (Claimant) v. Morgan Stanley DW, Inc. and Armodios Papagianakis (Respondents) Case Number: 03-01549 Hearing Site- New York, NY Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Theocharis and Demetra Nicolaou ("The Nicolaous") hereinafter collectively referred to as "Claimants": Robert

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 03-01543 Frank H. Henderson, n Names of the Respondents Hearing Site: Little Rock, AR The Malachi Group, Inc. Porter Bingham Nature of the Dispute: Associated Person vs. Member and Associated Person. For Frank H. Henderson, n, hereinafter referred to as "Claimant": Gary P. Barket, Esq., Little Rock, AR. For The Malachi Group, Inc. ("Malac