NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01041 Walter and Lesley Schreuer, Claimants vs. Morgan Stanley Dean Witter, Inc., Respondent. ATTORNEYS: Claimants, Walter and Lesley Schreuer, (collectively "Claimants"), appeared pro se, Ipswich, MA. Respondent, Morgan Stanley Dean Witter, Inc., ("Respondent"), appeared through its in-house counsel, Keith Guilfoyle, Esq., New York, NY. DATE FILED: February 11, 2003 CASE SUMMARY: Claima

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William Roncaioli and Anne M. Roncaioli, JTTEN, and William Roncaioli IRA and Anne M, Roncaioli IRA (Claimants) vs. Investec Ernst & Company, Royce Investment Group, Inc., and Joseph Rudy (Respondents) Case Number: 00-04410 Hearing Site: White Plains, New York REPRESENTATION OF PARTIES Claimants, William Roncaioli ("W. Roncaioli"), Anne M. Roncaioli ("A. Roncaioli"), William Ron

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vincent Tibollo and Gail Tibollo (Claimants) v. Advest, Inc. and Edward Carlsen, Sr. (Respondents) Case Number: 03-01040 Hearing Site: Buffalo, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Vincent Tibollo ("V. Tibollo") and Gail Tibollo ("G. Tibollo") hereinafter collectively referred to as "Claimants": Kevin Szan

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01037 Lee Douglas Johnson, Claimant vs. Janice A. Mizzi and Bret J. Bergmoser, Respondents. ATTORNEYS: Claimant, Lee Douglas Johnson, ("Claimant") appeared pro se.> Warren, MI. Respondents, Janice A. Mizzi and Bret J. Bergmoser, (collectively "Respondents"), appeared through their in-house counsel Heather A. Wright, Esq., New York, NY. DATE FILED: February 11, 2003 CASE SUMMARY: Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01034 Trudy S. Shane Name of the Respondents Hearing Site: Chicago, Illinois Edward D. Jones & Co. and Gregory L. Seibel Type of Controversy: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants Trudy S. Shane was represented by Susan R. Schrag, Esq. of the firm Morris, Laing, Evans, Brook & Kennedy. Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01032 Raymond James & Associates, Inc. Name of the Respondent Hearing Site: Tampa, Florida Stephen Reynolds Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Raymond James & Associates, Inc., hereinafter referred to as "Claimant": Leslie A. Reese, Assistant Vice President, Assistant Corporate Counsel, Raym

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01031 Santo and Dorothy Brocato Names of the Respondents Hearing Site: Boca Raton, FL Barry Financial Group a/k/a Asset Management Securities Corp. Richard Jeppson and Joseph Fernandez, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Santo and Dorothy Brocato ("Broca

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01030 William Read Kunzler, Claimant vs. World Group Securities, Inc., Respondent. ATTORNEYS: Claimant, William Read Kunzler, ("Claimant"), appeared pro se, Fairbanks, AK. Respondent, World Group Securities, Inc., ("Respondent") appeared through its Vice- President/Chief Legal Officer, Leesa M. Easley, Duluth, GA. DATE FILED: February 11, 2003 CASE SUMMARY: Claimant alleged that Responde

Award NASD Dispute Resolution In the Matter of the Arbitration Between: KTamp. nf tfrp ri^i'rpant C^e*. "NTiirnhfir' 0^-01074 Robin Smith Morgan Stanley DW Inc.; Arthur B. Segall; and, Carla S. Leverman jflg ftjte' Dallas, Texas NATTTPI? OT? TTTF. Public Customer v. Member Firm and Associated Persons Claimant Robin Smith, hereinafter referred to as "Claimant": John T. Palter, Esq. of the firm of Davis Munck, P.C., located in Dallas, Texa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01023 Sidney Gelfand Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Sidney Gelfand, hereinafter referred to as "Claimant": Scott L. Silver, Esq., Blum, Silver & Schwartz, L.L.P., Plantation, Florida. For Merri