Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between nf Claimant Richard E. Miller Case No. 00-04066 Emmett A. Larkin Company, Inc. Paul N. Lehnert Hearing Site: Pittsburgh, Pennsylvania OF PAP^ EV< 5 Claimant, Richard E. Miller, hereinafter referred to as "Claimant'*: Stanley P. DeGory, Esq., Bonya Gazza & DeGory, LLP, Indiana PA. Respondent, Emmett A. Larkin Company, Inc. ("Emmett A. Larkin"), hereinafter referre

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02:05970 Richard Ducharme Jr., Claimant vs. Morgan Stanley, DW Inc., Lonnie Long, and Calvin Whitaker, Respondents. ATTORNEYS: Claimant, Richard Ducharme Jr. ("Claimant") appeared Pro Se., Jacksonville, Fl. Respondents, Morgan Stanley, DW Inc., Lonnie Long and Calvin Whitaker, (collectively "Respondents") appeared through their in-house counsel, Douglas F. Stone, Esq., New York, NY. DATE FI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: I. David Hong and Kim Hong, Claimants v. Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc. and Jeffrey A. Mullen, Respondents Case Number: 02-05967 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES For Claimants: Bradley S. Keller, Esq. Byrnes & Keller IIP Seattle, Washington For Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ricardo Rafael Castillo, Claimant v. Prudential Securities Incorporated, Carlos Jimenez, and Brian D. Talgo, Respondents Case Numbcr:Q2-05966 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Robert Scott Dreher, Esq. Matthew R. Miller, Esq. Dreher Law Firm San Diego, California

Amended Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05962 Arthur Struck on behalf of IRA FBO Arthur Struck Names of the Respondents Hearing Site: Boca Raton, FL Sands Brothers & Co., Ltd. Stephen Soler Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Arthur Struck on behalf of IRA FBO Arthur Struck ("Struck") hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant P. Brooks Warren Name of the Respondent Salomon Smith Barney, Inc. Case Number: 02-05961 Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For P. Brooks Warren, hereinafter referred to as "Claimant": David W. Mockbee, Esq., Mockbee Hall & Drake, Jackson, MS and E. Clifton Hodge, Esq., Phelps Dunba

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Philips. Almon v. 02-05958 Denver, Colorado Respondents Wachovia Securities, LLC and John D. Simmons Nature of Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES Philip S. Almon ("Claimant") was represented by Otto K. Hilbert, n, Esq., of Robinson, Waters & O'Dorisio, P.C., Denver, Colorado. Wachovia Securities, LLC ("Wac

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Bear Stearns & Co., Inc. Name of the Respondent: Michael J. Strasser Case Number: 02-05954 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Bear Stearns & Co., Inc., hereinafter, referred to as "Claimant": Nicholas K. Notias, Esq., Capetanakis & Preite, New York, NY. Respondent, Michael J. Strasser, hereinafter referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05953 Nextrade, Inc. Names of the Respondents Hearing Site: Tampa, Florida Deutsche Bank Securities, Inc. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Schonfeld Securities, LLC Nature of the Dispute: Member vs. Members REPRESENTATION OF PARTIES For Nextrade, Inc., referred to as "Claimant Nextrade": Daniel Caama

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Catherine Burgess (Claimant) v. Kevin Jackson and Janney Montgomery Scott, LLC (Respondents) Case Number: 02-05950 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Catherine Burgess, hereinafter referred to as "Claimant": John S. Rubrich, Esq., Louis N. George, Esq., and Stuart E. Brown, Esq.