NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06246 Allan Marks and Catherine Fiasca, claimants vs. Herbert N. Rosenberg and Janney Montgomery Scott LLC, respondents. ATTORNEYS: Claimants appeared Lucy Emhardt, of Fordham University School of Law, New York, NY. For Respondents appeared Carrie L. Chelko, Esq., of the firm Saul Ewing, LLP, Philadelphia, PA. DATE FILED: October 18, 2002 CASE SUMMARY: Claimants alleged that responde

CASE: 02-06245 Pioneer Services/Pioneer Portfolio Corp., claimant vs. Patricia Masel, respondent. ATTORNEYS: Claimant appeared pro se through its President, Roy S. Kirton, Copiague, NY. For Respondent previously appeared George Goldman, of the firm Goldman Fischer Development Co. LLC, Northport, NY. Respondent is currently represented by Edward J. Tuscano, Esq., of the firm Tuscano & Associates PC, Huntington, NY. DATE FILED: October 18, 2002 CASE SUMMA

Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: Jeffrey M. Gamble and Sharon W. Gamble 00-04092 Names of the Respondents Hearing Site: Morgan Stanley DW, Inc., Mike Spaulding, and Allen Bailey Memphis, TN REPRESENTATION OF PARTIES For Jeffrey M. Gamble and Sharon W. Gamble, hereinafter collectively referred to as "Claimants": Jack G. Heffington, Esq., Murfreesboro, TN. For Respondents Morgan St

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06244 Nancy L. Rogers, Trustee U/A DTD 10/3/96 Names of the Respondents Hearing Site: Orlando, Florida Merrill Lynch Pierce Fenner & Smith, Inc. Richard "Dick" Emerson EWW Group a/k/a Emerson Waller Group Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member. REPRESENTATION OF PARTIES For Nancy L. Rogers, Truste

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06240 Kalliope Singletary Names of the Respondents Hearing Site: Tampa, Florida FSC Securities Corporation Pershing Division of Donaldson Lufkin & Jenrette Securities Corporation Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Kalliope Singletary, hereinafter referred to as "Claimant": Robert Persante, Es

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-06239 John Cohee John Cohee IRA Cohee First Family Limited Partnership Name of the Respondent Hearing Site: Tampa, Florida Raymond James Financial Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For John Cohee, John Cohee IRA, and Cohee First Family Limited Partnership, hereinafter referred to as

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06238 Bonnie M. Vanlandingham, TTEE of the Bonnie M. Vanlandingham Trust; Bonnie M. Vanlandingham, TTEE of the Ronald W. Vanlandingham Trust; and, Bonnie M. Vanlandingham Names of the Respondents Hearing Site: Boca Raton, Florida FSC Securities Corporation and Michael J. Klimis Nature of the Dispute: Customer vs. Member

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Stanton Cherry Renee Cherry Names nf the Respondents Valley Forge Securities, Inc. Robert Montani, Jr. Case Number* 02-06237 Hearing Site- Philadelphia, Pennsylvania Nature of the Dispute: Customers v. Terminated Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Stanton Cherry and Renee Cherry, hereinafter collectively refe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant / Counter-Respondent Leonard C. Demers v. 02-06233 Minneapolis, Minnesota Respondent/ Counterclaimant Roan-Meyers Associates, LP Nature of Dispute: Associated Person v. Member and Member v. Associated Person REPRESENTATION OF PARTIES Leonard C. Demers ("Claimant") was represented by Douglas C. Evans, Hillsdale, New Jersey. Roan-Meyers Associates, LP ("Respond

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06230 Michael D. Weaver Names of Respondents Hearing Site: Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith Inc., Paul A. Pagnato, and David Karp Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTTttS Claimant, Michael D. Weaver, hereinafter referred to as "Claimant," was represented