AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Timothy S. Van Name v. 03-00206 Denver, Colorado Respondents Morgan Stanley Dean Witter, Inc. and Rick Schoen Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Timothy S. Van Name ("Claimant") was represented by Kevin L. McDowell, Esq., of Buchholz, McDowell & Norman Boulder, Colorado. Morgan Stanley Dean Witter, Inc. (

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kate Bekins Revocable Trust, Claimant v. Prudential Equity Group, LLC (formerly Prudential Securities, Inc.) and Allan L. Herzog, Respondents Case Number: 03-00205 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Thomas D. Mauriello, Esq. Law Offices of Thomas D. Maurie

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Mark Weinerman rase Number- 03-00199 Name nf the Respondents Fahnestock & Co., Inc. Allen Lang Elliot Fine Hearing Site: Philadelphia., PA Nature of the Dispute: Customer vs. Member and Associated Persons. RF.PRKSKNTATTON OF PAKTTRS Claimant, Mark Weinerman, hereinafter referred to as "Claimant", was represented by Andrew M. Mc

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Names of the Claimants Case Number: 03-00197 Ray Vera and Concepcion Roca Vera, husband and wife Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc., a Delaware Corp. Juan C. Collar Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ray Vera and Concepcion Roca Vera, hu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ross L. Tesser, an individual, and Ross L. and Catherine H. lesser, Trustees for the Kings Trust DTD 7/24/95, Claimants v. Morgan Stanley DW Inc. and Schneur Zalmen Lazaroff, Respondents Case Number: 00-04307 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: JeffDennis Ferentz, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00196 Evelyn Timko, individually, and as Personal Representative of the Estate of John J. Timko Name of the Respondent Hearing Site: Tampa, Florida Bamett Investments, Inc. n/k/a Bank of America Investment Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Evelyn Timko, individually, and as Person

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Karim Pirani, Individually MLPF&S FBO Steve M. Calderon, IRA, FBO Steve M. Calderon MLPF&S Cust. FBO Steve M. Calderon SEP, FBO Steve M. Calderon MLPF&S Cust. FBO Celina M. Calderon, IRA, FBO Celina M. Calderon Steve M. Calderon and Celina Calderon, JTWRS Steve M. Calderon, C/F Marcos D. Calderon, UTMA/FL Steve M. Calderon, C/F D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: er: 03-00190 Stuart D. Small, M.D., individually and on behalf of the Stuart D. Small Roth IRA Hearing Site- Dallas, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc.; Citigroup Global Markets, Inc., formerly known as Salomon Smith Barney, Inc.; Russell E. Cooper; David N. Bower; and, Henry M. Blodget M TTPT? O Public Customer v. Member Firms and Associated P

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Andy Janssens, III, Linda Janssens, and Andy Janssens, Jr. and Case Number: 03-00186 Hearing Site: Troy, Michigan Names of Respondents Edward D. Jones & Co. and Eric D. Lundy NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Andy Janssens, 111, Linda Janssens, and Andy Janssens, Jr. ("Claimants") were

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00185 Salomon Grey Financial Corp., Claimant vs. Gary Rabah, Respondent. ATTORNEYS: ~~~ For Claimant, Salomon Grey Financial Corp., ("Claimant") appeared Belinda Goss, Dallas TX. Respondent, Gary Rabah, ("Respondent") did not submit an answer to the statement of claim. DATE FILED: January 9, 2003 CASE SUMMARY: Claimant alleged that Respondent failed to pay a debit balance incurred in his