Award NASD Dispute Resolution In the Matter of the Arbitration Between: Domestic Securities, Inc. (Claimant) v. U.S. Bancorp Piper Jaffray, Inc. (Respondent) Case Number: 02-06420 Hearing Site: New York, New York Nature of the Dispute: Member v. Member. REPRESENTATION OF PARTIES Claimant Domestic Securities, Inc. ("Domestic") hereinafter referred to as "Claimant": Carole R. Bernstein, Esq., Law Offices of Carole R. Bernstein, Westport, CT. Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Hadar, Olga Bagnasco Hadar, Richard Hadar Insurance Trust, Richard Hadar Family, LLC, Richard Hadar CLAT, The J-Trust, Hadar Retained Income Trust, and Hadar Foundation (Claimants) v. Prudential Securities, Inc. n/k/a Prudential Equity Group, Inc. and Bruce Arnold Pomerantz (Respondents) Case Number: 02-06418 Hearing Site: New York, New York Nature of the Dispute: Customers

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06414 Hansel M. DeBartolo M.D.S.C. Pension Plan & Trust Name of the Respondents Hearing Site: Chicago, Illinois BlueStone Capital Corp., John McKenzie, and Sands Brothers & Co. Type of Controversy: Customer v. Terminated Member, Associated Person, and Member Finn REPRESENTATION OF PARTIES Claimant Hansel M. DeBartolo M.D.S.C. Pension Plan

Award NASD Dispute Resolution In the Matter oftne Arbitration between: Name of the Claimant Case Number: 02-06413 Roger Gaeckler Names of the Respondents Hearing Site: Boca Raton, Florida Virgil Guerriero, individually and as Trustee of the Guerriero Family Trust Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES For Roger Gaeckler ("Gaeckler"), hereinafter referred to as "Claimant": Richard L. Martens, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Brett M. Lane, Beneficiary of David C. Lane, deceased IRA Names of the Respondents Stephen T. Whalen and Morgan Keegan & Company, Inc. Case Number: 02-06411 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Brett M. Lane, Beneficiary of David C. Lane, d

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Charles Schwab & Company, Inc. ;; Case No. 00-04112 Name of Respondents Robert C. Sears, individually and d/b/a Last Minute Concessions, Inc., d/b/a Last Minute Concessions, and d/b/a Sears Casagrande & Hersh Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Charles Schwab & Company, Inc. ("Claimant"): John R. Snyder, E

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00428 Andrew Thompson, claimant vs. Charles Schwab & Company, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se., Birmingham, AL. For Respondent appeared in-house counsel Gregory M. Scanlon, Esq., San Francisco, CA. DATE FILED: February 1, 2000 CASE SUMMARY: Claimant alleged that respondent failed to provide him with a requested stock quote and a requested transfer agent addres

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sydney Shapiro and Sydney Shapiro Revocable Trust, Claimants v. Merrill Lynch Pierce Fenner & Smith Inc., Respondent Case Number: 02-06410 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Ryan K. Bakhtiari, Esq. Keith D. Fraser, Esq. Aidikoff&Uhl Beverly Hills, California For Respondent: Peter B

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul T. Moxley, Claimant v. Morgan Stanley DW Inc. and Robert H. Rose, Respondents Case Number: 02-06408 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Randall R. Heiner, Esq. Law Offices of Randall R. Heiner Salt Lake City, Utah For Respondents: Christopher B. Wells, E

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Raymond James and Associates, Lie, and °2-06405 Chicago, Illinois Name of Respondent Gerard Phillips Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Raymond James & Associates, Inc., ("Claimant") was represented by Rick A. Buchwalter, Esq. located in Chicago, Illinois, Gerard Phillips, ("Phillips") or ("Respondent")