NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05996 Anthony J. and Mary Lou Tosques, IRA, claimants vs. Merrill Lynch, Pierce, Fenner & Smith Inc. and E. Stanley Peck, Jr., respondents. ATTORNEYS: Claimants appeared pro se, Green Pond, NJ. For Respondents appeared in-house counsel, Richard Kelly, Esq., New York, NY. DATE FILED: October 8, 2002 CASE SUMMARY: Claimants alleged that respondents failed to execute an order to sell all of

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05995 Whitney Securities, L.L.C., claimant vs. Raymundo Farrugia, respondent. ATTORNEYS: For Claimant appeared Chris K. Ralston, Esq., of the firm Phelps Dunbar LLP, New Orleans, LA. For Respondent did not respond to the Statement of Claim. DATE FILED: October 8, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed that resulted from a debit balance created whe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05994 H&R Block Advisors, claimant vs. Hector Gamboa, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Kurt M. Miller, Esq., Detroit, MI. Respondent did not respond to the Statement of Claim. DATE FILED: October 8, 2002 CASE SUMMARY: Claimant alleged that respondent purchased shares of Broadcom Corp CL A and Newfocus with a check that was returned for insufficient funds. Cl

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05993 Frederick B. Bamford, Claimant vs. Dreyfus Service Corp., Jeffrey R. Kraebel and Carl V. Melella, Respondents. ATTORNEYS: Claimant, Frederick B. Bamford, ("Claimant") appeared Pro Se., Longwood, FL. For Respondents, Dreyfus Service Corp., Jeffrey R. Kraebel and Carl V. Melella, (collectively "Respondents"), appeared Jonathan Budd, Esq., of the firm Reid Priest, LLP, Pittsburgh, PA.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05991 Morgan Stanley Dean Witter, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Michael S. Wallman REPRESENTATION OF PARTIES For Morgan Stanley Dean Witter, Inc., hereinafter referred to as "Claimant": Edward A. Walton, Esq., Ronald P. Kane, Esq. and Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Michael

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laura J. Roantree (Claimant) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. and Allen White (Respondents) Case Number: 02-05981 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Laura J. Roantree ("Roantree") hereinafter referred to as "Claimant": Christopher J. Conrad, Esq., p

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Inge and George Anstadt (Claimants) v. Prudential Equity Group, Inc. f7k/a Prudential Securities, Inc., John Story & Patrick Pointer (Respondents) Case Number: 02-05980 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Inge Anstadt ("I. Anstadt") and George Anstadt ("G. Anstadt") hereinaft

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Jerome (Claimant) v. Ronald Bucher, Stanford Group Company and Josephthal & Co. n/k/a Fahnestock & Co. (Respondents) Case Number: 02-05978 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant James Jerome ("Jerome") hereinafter referred to as "Claimant": Bruce E. Baidinger, Esq., Baldinger & Le

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elma Baia (Claimant) vs. HSBC Brokerage (USA), Inc., (Respondent) Case Number: 02-05976 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Elma Baia, hereinafter referred to as "Claimant": Peter S. Pearlman, Esq., Conn Lifland Pearlman Herrmann & Knopf, Saddle Brook, NJ. Respondent, HSBC Brokerage (USA) Inc., hereinafter referred to as "Respondents": Paul K. St

Stipulated Award NASD Dispute Resolution In the Matter of th Arbitration Between: Name of the Claim* nt Mary M. Jordan Names of the Resix ndents Case Number: 02-05974 Hearing Site: Boca Raton, FL Morgan Stanley D\y Inc. Brian Cavell Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mary M. lord Esq., Dickenson .n ("Jordan") hereinafter referred to as "Claimant": Russell C, Silverg