Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant William Gregory and Dorene Priolo Barker Names of the Respondents John Mackie Al Goldman A.G. Edwards & Sons, Inc. Case Number: 02-05878 Hearing Site: Tampa, Florida Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES For William Gregory and Dorene Priolo Barker, hereinafter referred to as "Claimant"

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04060 James L. Tracey, Bryan K. Murtauch, John P. Sass and William J. Goodman Claimants vs. NI Securities Corp. and Michael E. Zulick, Respondents. ATTORNEYS: Claimants, James L. Tracey, Bryan K. Murtauch, John P. Sass and William J. Goodman ("Claimants") appeared Pro Se., through James L. Tracey, Belvidere, IL. For Respondents, NI Securities, Corp. and Michael E. Zulick (collectively

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE; 00-00422 Chester!. Derek, claimant vs. Gruntal & Co. Inc., respondent ATTORNEYS: Claimant appeared Pro Se, Saginaw, MI For Respondent Gruntal & Co. Inc. appeared in-house counsel, David Rappaport, Esq., New York, NY DATE FILED: January 31, 2000 CASE SUMMARY: Claimant alleged respondent encouraged him to buy various, unsuitable in-house common stock. Claim Data Claim: $14,5

Award NASD Dispute Resolution In the Matter of the Arbitration Between: fi nf the darrngmt ("!ase Number 02-05876 James Dellorso, IRA p. nf the Respondents Hearing Site- Pittsburgh, PA Gerald Goodman Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc. First Union Securities, Inc. n/k/a Wachovia Securities, Inc. UFTPRFSFNTATTON OF PARTTFS Claimant, James Deilorso, IRA, hereinafter referred to as "Claimant", was represented by Stanley

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 02-05875 Rosa Tatano Trust Names nf the Respondents Hearing Site: Pittsburgh, PA Gerald Goodman Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds, Inc. First Union Securities, Inc. f/k/a Kemper/Everen Securities, Inc. n/k/a Wachovia Securities, Inc. REPRESENTATION OF PARTIES Claimant, RosaTatano Trust, hereinafter referred to as "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Hai'mant Pase Number- 02-05874 RoyLeichty,IRA Names nf the Respondents Hearing Site: Pittsburgh, PA Gerald Goodman Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc. First Union Securities, Inc. f/k/a Kemper/Everen Securities, Inc. n/k/a Wachovia Securities, Inc. REPRESENTATION OF PARTIES Claimant, Roy Leichty, IRA, hereinafter referred to as "C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kinel Ltd., and Nikolai Lougovskoi (Claimants) vs. Merrill Lynch Pierce Fenner & Smith, Inc., Merrill Lynch Bank and Trust Co., Merrill Lynch International Inc., Merrill Lynch International Bank Limited, and Merrill Lynch Bank (Suisse) S.A. (Respondents) Case Number: 02-05868 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimants Alexander T. Man, Jr. Cynthia A. Nelson Marr Case Number 02-05867 Name of the Respond en ts Morgan Stanley DW Inc. Salvatore L. Monastero Hearing Site: Philadelphia, PA REPRESENTATTON OF PARTTFS Claimants, Alexander T. Marr, Jr. and Cynthia A. Nelson Marr, hereinafter collectively referred to as "Claimants", were represented by John R. Crayt

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Capozzi (Claimant) v. HSBC Brokerage (USA) Inc. as Successor in Trust for Republic Financial Services (Respondent) Case Number: 02-05866 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, John Capozzi, hereinafter referred to as "Claimant": John Weber, Esq., Brooklyn, NY. Respondent, HSBC Brokerage (USA) Inc. as Successor in Trust for Republic Financial

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Prudential Securities, Inc. (Claimant) v. William D. Dilley (Respondent) Case Number: 02-05865 Hearing Site: Cleveland, Ohio Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Prudential Securities, Inc., hereinafter referred to as "Claimant": Steven P. Gomberg, Esq., Rooks Pitts, Chicago, IL. Respondent William D. Dilley, hereinafter referred