Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07061 C. Charles Custer Names of the Respondents Hearing Site: Boca Raton, Florida UBS PaineWebber, Inc. Michael Gomberg Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For C. Charles Custer, hereinafter referred to as "Claimant": Darren C. Blum, Esq. and Scott L. Silver, Esq., Bl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between Name of the Claimant William B. McCranie Names of the Respondents UBS Financial Services, Inc. j(f/k/a UBS PaineWebber, Inc.) Janney Montgomery Scott, LLC Michael Gomberg Case Number: 02-07060 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES , *,,-,,*..* For William B. McCra

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07056 Margaret F. Moore as Trustee of The Margaret F. Moore Revocable Trust Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley Dean Witter, Inc. Thomas M. Pentecost Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Margaret F. Moore as Trustee of the Margaret F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf flip Tlai'mant Pa-^ Number 02-07048 Douglas Combs as Trustee for the Douglas Combs IRA Name nf the Respondents Hearing Sfrer Baltimore, Maryland Joseph Karsner Joe Karsner & Associates Legacy Financial Services, Inc. Nature of the Dispute: Customer vs. Associated Person, Member and Non-Member. KFPKF.SRMTATTON OFPARTTF.S Claimant, Douglas Combs as Trustee for

1 NASD Dispute Resolution Arbitration No. 00-04172 Award Page 1 of 6 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laurence Einuis, (Claimant) v. The Thornwater Company, Inc., Clark D. Ruiz, Adam DeMario, and Gregory S. Kellar, (Respondents) Case Number: 00-04172 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Laurence Einuis, hereinafter referred to as "Claimant": John P. Cione, Esq., Solana

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nfltnp nf the Claimant Case Number 02-07045 Debra L. Byrne e nf the Respondent Hearing Site: Philadelphia, PA TD Waterhouse Investor Services, Inc. Nature of the Dispute: Customer vs. Member. RFPRFSFNTATTON OF PARTIES Claimant, Debra L. Byrne, hereinafter referred to as "Claimant", was represented by Thomas J. Byrne, Marlton, New Jersey. Respondent, TD Waterhouse Investo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: of the Claimant Doris D. Gordon Name nf the Pesprmdents Morgan Stanley DW Inc. and Morgan Stanley Dean, Witter & Co. Case Nijmher! 02-07043 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTTRR Claimant Doris D. Gordon, hereinafter referred to as "Claimant", was represented by Neil A. Riemann,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; s of thp Claimants Lawrence and Ruth G. Martinez Names of the UBS Financial Services, Inc. Michael Gomberg Pase Number 02-07042 Hearing Site! Charlotte, North Carolina Nature of the Dispute: Customers vs. Member and Associated Person. UP.PRKSF.NTATTON OF PARTTRS Claimants, Lawrence and Ruth G. Martinez, hereinafter collectively referred to as "Claimants",

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the riarmant Marc Chimes Case Number- 02-07041 Name of the "Respondent Morgan Stanley DW, Inc. Hearing Site: Washington, B.C. Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant, Marc Chimes, hereinafter referred to as "Claimant", was represented by Tas S.G. Coroneos, Esq. and Herbert Rubenstein, Esq., Coroneos & Rubenstein, P.C., Ro

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants William W. Khoenle E. Marlene Khoenle Names of the Respondents Signator Investors, Inc. Dean Nowak Customer v. Member and Associated Person Case Number: 02-07037 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For William W. Khoenle and E. Marlene Khoenle, hereinafter collectively referred to as "Claimants": Neal J.