iJMl-OMODZ 08:aiai FrortASD DISPUTE RESOLUTION + T-714 P.OOS/Dll F-B62 .'• ORIGINAL Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ted Kaly and Mary Jo Kaly, Claimants v. Emmert A. Lwkin Company, Inc., Royal Hutton Securities Corp., John T- Ciofalo, Ruis Reis Figueiredo, Paul S. Medaglia, John T. Pisapia, Respondents Case Number: 00-04128 Hearing Site: Salt Lake City, UMi REPRESENTATION OF PARTIES For Claimants: Ra

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06573 Beverly K. Walker Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF THE PARTIES For Beverly K. Walker, hereinafter referred to as "Claimant": Michael J. Cohen, Esq., Cohen & Greenberg, LLC, Weston, Florida. For Morgan Stanley

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Jackie Simon Names of the Respondents Adam T. Fonnan and Bruce E. Rich Case Number: 02-06572 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Associated Person & Associated Person. REPRESENTATION OF PARTIES Jackie Simon, hereinafter referred to as "Claimant", appeared pro se. For Respondent Adam T. Forman ("Fonnan"): Delmer C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claim art rasft Nnmter 02-06571 The Ricky L. Snyder Charitable Remainder Trust Name nf thft Respondents Hearing Site.: Washington, DC Thomas Weisel Partners, LLC Jeffrey S. Schottenstein Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRF.SF.NTATTON OF PARTTFS Claimant, the Ricky L. Snyder Charitable Remainder Trust, by and through its Truste

Award NASD Dispute Resolution In the Matter of the Arbitration Between: p nf the. Claimant Case Number 02-06570 The Paul J. Speroni Charitable Remainder Trust by and through its Trustee Paul J. Speroni Name nf the Respondents Hparing Site.; Washington, D.C. Thomas Weisel Partners, LLC Jeffrey S. Schottenstein Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRFSF.NTATTON OF PARTTF.S Claimant, the Paul J. Speroni Charitabl

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Jack and Marlene Farbstein and Case Number: 02-06567 Hearing Site: Houston, Texas Name of Respondent Wachovia Securities, LLC NATURE OF DISPUTE Customers v. Member Firm REPRESENTATION OF PARTIES Jack and Marlene Farbstein ("Claimants") were represented by Samuel B. Edwards, Esq., of Shepard, Smith & Edwards, P.C., of Houston, Texas. Wachovia

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara F. Vanderwilden (Claimant) v. Bear, Stearns & Co., Inc. (Respondent) Case Number: #02-06560 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Barbara F. Vanderwilden ("Vanderwilden") hereinafter referred to as "Claimant": Daniel W. Rice, Esq., Glynn, Landry, Harrington & Rice, LLP, formerly Harring

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christiane Neuville, Neuville Family Trust dated 4/24/89, and IRA F/B/O Christiane Neuville (Claimants) v. Todd M. Eberhard, Park South Securities, LLC, Clearing Services of America, and Eberhard Investment Associates, Inc. (Respondents) Case Number: 02-06559 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members, Non-Member, and Associated Person REPRESENTATIO

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Daniel Russo, Individually, and as Trustee for Aegis International, Inc. Profit Sharing Retirement Plan, Daniel D. Russo IRA, Daniel D. Russo c/f Tared D. Russo, Daniel D, Russo c/f Joel R. Russo, and Daniel D. Russo c/f Daniel Russo, Jr. (Claimants) v. Fiserv Securities, Inc., Federal Street Investments, Inc., Salomon Grey Financial Corp., and Roger Blundell (Respondents) Case Numb

Award j NASD Dispute Resolution i In the Matter of the Arbitration Between: ISJ PTTT P nf thP rifltmante Case Number. 02-06552 Fannie H. Thomas Fannie H. Thomas IRA Nathaniel A. McKinnon (g Sitfi- Baltimore, Maryland The Chapman Company Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTTFS Claimants, Fannie H. Thomas ("Thomas"), Fannie H. Thomas IRA and Nathaniel A. McKinnon ("McKinnon"), hereinafter collectiv