NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06080 Laurence Pilgeram, claimant/counterclaim respondent vs. Rick Giffin, respondent/counterclaim claimant. ATTORNEYS: Claimant/counterclaim respondent appeared pro se, Goleta, CA. Respondent/counterclaim claimant appeared pro se, Little Rock, AR. DATE FILED: October 11, 2002 CASE SUMMARY: Claimant/counterclaim respondent alleged that respondent/counterclaim claimant failed to discl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Page Niimher: 02-06078 Edward and Elizabeth Leard Names nf rtip Respnndpnts Hearing Site: Pittsburgh, PA PNC Brokerage Corp., J.J.B. Milliard, W.L. Lyons, Inc., Barbara Jene Cole, and Valerie Lyle Nature of the Dispute: Customers vs. Terminated Member, Member and Associated Persons RFPBFSFNTATTON OF PAPTTFS Claimants, Edward and Elizabeth Leard, hereinafter collectively

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John G. Becker (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Mary E. Schaaf (Respondents) Case Number: 02-06076 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant John G. Becker ("Becker") hereinafter referred to as "Claimant": Jeffrey A. Sellers, Esq., Silverberg, Yood, Sellers, Mc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dorothy Ames (Claimant) v. First Montauk Securities Corporation, David Garfinkel, and Herbert Kurinsky (Respondents) Case Number: 02-06070 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Dorothy Ames ("Ames") hereinafter referred to as "Claimant": Dan Brecher, Esq,, Law Offices of Dan Brecher,

Amended Stipulated Award NASD Dispute Resolution In the Matter of Arbitration Between Beth Greenberg (Claimant) v.Bainco International Investors, LLC, Newbury Street Capital, LP, Samuel Bain, Jr., Robert Katz and Christopher Shepler (Respondents) Case No. 02-06068 Hearing Site: Boston, Massachusetts Customer v. Member, Associated Persons and Non-Member REPRESENTATION OF PARTIES Claimant, Beth Greenberg ("Claimant" or "Greenberg") was represented by Rich

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-06067 Bemice and Harold Kremins JTWROS Names of the Respondents Hearing Site: Boca Raton, Florida Salomon Smith Barney, Thomas J. Coelho and Philip Vallone Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Bernice and Harold Kremins JTWROS, hereinafter collectively referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, Inc., Claimant v. John A. Hines, Respondent Case Number: 02-06060 Hearing Site: Seattle, Washington For Claimant: For Respondent: Douglas D. Callaway, Esq. Wachovia Securities Inc. Richmond, Virginia John A. Hines In Propria Persona Maple Valley, Washington CASE INFORMATION Statement of Claim filed: October 10,2002 Claimant's Unif

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Morton E. Harris and Case Number: 02-06056 Hearing Site: Troy, Michigan Names of Respondents Bane One Capital Markets, Inc. and James G. Craven NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Morton E. Harris ("Claimant") was represented by Andrew J. Abrams, Esq., Sugar, Friedberg & Felsenthal, Chicago, Ill

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant The Ray Slavin Revocable Trust Case No. 00-04075 Names of Respondents Morgan Stanley Dean Witter, Inc. J.W. Ray Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For The Ray Slavin Revocable Trust, hereinafter referred to as "Claimant": Robert Wayne Pearce, Esq., Robert Wayne Pearce, P.A., Boca Raton, Florida. For Morgan Stanle

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Cynthia Jarrard And 02-06055 Kansas City, Missouri Name of Respondents Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Cynthia Jarrard ("Claimant") was represented by Gordon D. Gee, Esq., Seigfred, Bingham, Levy, Selzer & Gee, Kansas City, Missouri. Prudent