Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter A. Tomassi (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Kenneth Neuman (Respondents) Case Number: 02-06726 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Peter A. Tomassi ('Tomassi") hereinafter referred to as "Claimant": Richard C. Fooshee, Esq., Englewood, N

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Nancy Cook and Case Number: 02-06723 Hearing Site: Houston, Texas Names of Respondents Morgan Stanley DW, Inc. Marvin C. Joubert NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Nancy Cook ("Claimant") was represented by Mary A. Van Kerrebrook, Esq., of Edler, Van Kerrebrook & Corpening, LLP, in Houston

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, nf the Claimant Karin Irwin Revocable Trust Karin Irwin, Trustee Name of the Respondents Steven S. Godwin , Jean S. LaFata and Edward D. Jones & Co., L.P. Case Number- 02-06722 Hearing Site- St. Louis, Missouri NATTTKF OF TITSP1TTF. Customer vs. Member Firm and Associated Person OF PAKTTF Michael Hume of Loss Recovery Center located in Incline Village,

«-. \ In the Matter of the Arbitration Between: Claimant UBS Financial Services Inc. vs. Respondent Raymond L. Natili, III Case Number: 02-06718 SITUS: Raleigh, North Carolina NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES: Claimant UBS Financial Services, Inc., hereinafter referred to as "Claimant", was represented by Joshua S. Bratspies, Esq., Riker Danzig Scherer Hyland Perretti, LLP, Morristown, New Jersey. Respondent d

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants flase Number: 02-06716 William Terry William Terry Agency, Inc. Name nf the T? espondents Hearing Sitfv Richmond, Virginia Great Eastern Securities, Inc. Joseph Pagano Michael Bruno Alphonse Mekalainas Nature of the Dispute: Customers vs. Member and Associated Persons. UFPRESFNTATTfW OF PARTTRS Claimants, William Terry ("Terry") and William

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Harry Finkle, Claimant vs. Track Data Securities, Respondent. Case Number: 00-04137 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Harry Finkle, hereinafter referred to as "Claimant": Harry Finkle, Carmel, California Respondent, Track Data Securities - a Division of Track Securities Corporation ("TDS"), hereinafter referred to as "Respondent": Mars

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06715 John J. Costello and Virginia B. Costello, Claimants vs. Morgan Stanley DW Inc. D/B/A Morgan Stanley Online, Respondent. ATTORNEYS: Claimants, John J. Costello and Virginia B. Costello ("Claimants") appeared Pro Se, Palm Beach Gardens, FL. Respondent, Morgan Stanley DW Inc. D/B/A Morgan Stanley Online ("Respondent") appeared through its in-house counsel, Judith M. Rosenberg, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan Pardo as beneficiary of the Susan Pardo IRA, Susan Wilson individually and as beneficiary of the Susan Wilson IRA and the Susan Wilson IRRA, Douglas Wilson, The Pardo Decedent Trust dtd 7/7/87, The Pardo Survivors Trust dtd 7/7/87 and The Susan Pardo Irrevocable Family Trust, Claimants v. Merrill Lynch Pierce Fenner & Smith Inc., Respondent Case Number: 02-06713 Hearing Site: Los

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant John W. Pribyl and 02-06707 Oklahoma City, Oklahoma Name of Respondent Prudential Securities, Inc. n/k/a Prudential Equity Group, hie. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES John W. Pribyl ("Claimant") was represented by Allen Campbell, Esq., Kirk & Chaney, Oklahoma City, Oklahoma. Prudential Equity Group

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants John L. Sherman and Jean A. Sherman v. 02-06703 Denver, Colorado Respondents Kirkpatrick, Pettis, Smith, Polian, Inc., n/k/a KFS BD, Inc. Gregory A. Adams, Steven E. Mirth, and Mutual of Omaha Insurance Company and Cross-Claimant/Counter-Respondent Steven E. Muth v. Cross-Respondent/Counter-Claimant Kirkpatrick, Pettis, Smith, Polian, Inc., n