Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph O. Casale v. Pruco Securities Corp., Respondent and The Prudential Insurance Company of America, Third-Party Claimant, v. Josephh O. Casale, Respondent. Case Number: 00-04062 Hearing Site: New York, New York REPRESENTATION OF PARTIES CJaimant/Third-Party Respondent, Joseph O. Casale ("Casale" or "Claimant")- Laurent S. Drogin, Esq., Tarter Krinsky & Drogi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Armato d/b/a Armato Securities (Claimant) vs. Vincent Molinari, Joseph DeSena, and Burlington Capital Markets (Respondents) Case Number: 02-05949 Hearing Site: New York, New York Nature of the Dispute: Non-Member vs. Associated Persons and Member REPRESENTATION OF PARTIES Claimant John Armato d/b/a Armato Securities hereinafter referred to as "Claimant": Kevin Conway, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Dr. Harold H. Kalman Trustee FBO Harold Kalman Harold Kalman IRA Pearl Z. Kalman Trustee FBO Pearl Kalman Names of the Respondents Quick & Reilly Thomas Barnwell Case Number: 02-05940 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Dr. Harold H. Kalman Tru

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf tnp Claimant Case Number 02-05926 Nancy Taylor Smith Name of the Respondents "Rearing Site: Raleigh, NC J.C. Bradford & Co. n/k/aUBS Financial Services, Inc. Morgan Keegan & Company, Inc. Russ N. Britton Nature of the Dispute: Customer v. Members and Associated Person. RFPRFSF.NTATTON OF PARTTFS Claimant, Nancy Taylor Smith, hereinafter referred to as "Claima

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of fop r!]aimants Past* Nnmher 02-05923 Jonathan Spom Alexandra Sporn Name nf tbp ftpgpmiflpnt Hearing Site: Washington, DC Morgan Stanley DW, Inc. Nature of the Dispute: Customers vs. Member RKPRFSRNTATTON OF PARTTF.S Claimants, Jonathan Sporn ("J. Sporn ") and Alexandra Sporn ("A. Sporn "), hereinafter collectively referred to as "Claimants", were represented by M

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05918 David Baturin & Goldie Baturin, claimants vs. Merrill Lynch, Pierce, Fenner & Smith Inc., respondent. ATTORNEYS: Claimants appeared pro se through David Baturin, Franklin Square, NY. Respondent appeared through its in-house counsel, Demitri Nemirovsky, Esq., New York, NY. DATE FILED: October 3, 2002 CASE SUMMARY: Claimants alleged that respondent misrepresented information regardin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Willi Diener (Claimant) v. Prudential Securities, Inc. n/k/a Prudential Equity Group, Inc. and Prudential-Bache International, Ltd. (Respondents) Case Number: 02-05916 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Willi Diener ("Diener") hereinafter referred to as "Claimant": David S. Ratner, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William Zach and Jacqueline Zach (Claimants) v. Advest and Edward Carlsen, Sr. (Respondents) Case Number: 02-05915 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants William Zach ("W. Zach") and Jacqueline Zach ("J. Zach") hereinafter collectively referred to as "Claimants": Jeffrey A. Sellers, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Darla Kerestesy and Louis Kerestesy (Claimants) v. Merrill Lynch Pierce Fenner & Smith, Inc., and Janet Vettel (Respondents) Case Number: 02-05912 Hearing Site: Cleveland, OH REPRESENTATION OF PARTIES Claimants, Darla Kerestesy and Louis Kerestesy ("Kerestesy"), hereinafter collectively referred to as "Claimants": Brian Green, Esq., Shapero, McGinnis, Green, later & Michel. Beac

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Reed Dan Weiser (Claimant) v. Donald Hunt Ackerman and Kevin Michael Peters (Respondents) Case Number: 02-05909 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Associated Person and Associated Person. REPRESENTATION OF PARTIES Claimant Reed Dan Weiser ("Weiser**) hereinafter referred to as Claimant" appeared pro se. Respondent Donald Hunt Ackerma