NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05771 Jean Kerner, Claimant vs. Joel Kaplan and Prudential Securities, Inc., Respondents. ATTORNEYS: For Claimant, Jean Kerner, ("Claimant") appeared Paul C. Kurland, Esq., of the firm Snow Becker Krauss, P.C. New York, NY. Respondents, Prudential Securities, Inc., and Joel H. Kaplan, (collectively "Respondents") appeared through their in-house counsel, Patricia A. Fitzpatrick, Esq., New Yor

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05768 Raymond James & Associates, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida JohnBowen Nature of the Dispute: Member Firm vs. Associated Person. REPRESENTATION OF PARTIES For Raymond James & Associates, Inc. ("RJA"), hereinafter referred to as "Claimant": Rick Buckwalter, Esq., Raymond James & Associates, Inc

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Prudential Equity Group, Inc. and Name of Respondent David B. Thomas, Sr. Case Number: 02-05762 Hearing Site: Houston, Texas NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Prudential Equity Group, Inc. ("Claimant") was represented by J. Scott Hogan, Esq., of Munsch, Hardt, Kopf & Harr, PC, of Dallas, Texas. Da

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cecilia A. Gallagher H&R Block Financial Advisors, Inc; Prudential Securities, Inc. and Matthew Figueroa _ Hearing Site: Phoenix, Arizona REPRESENTATION OF PARTIES Claimant, Cecilia A. Gallagher ("Gallagher"), hereinafter referred to as "Claimant": Lawrence R. Moon, Esq., Lawrence R. Moon, P.C., 132 South Central Avenue, Suite 208, Phoenix, AZ 85004. Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Solomone and Sari Solomone (Claimants) Case Number: 02-05758 v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Mollie L. Brennan, James A. Richardson, and Travis K. Musgrave (Respondents) Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Michael Solomone and Sari Solomone

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant / Counter-Respondent SunAmerica Securities, Inc. v. 02-05755 Minneapolis, Minnesota Respondent / Counter-Claimant Sherwin Presley Brown and Respondent Jamerica Financial, Inc. Nature of Dispute: Member v. Associated Person and Non-Member and Associated Person v. Member REPRESENTATION OF PARTIES SunAmerica Securities, Inc. ("Claimant' 1 ) w

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Eunice J. Consalus Trust Name of the 'Respondent Merrill Lynch Pierce Fenner & Smith, Inc. ase Number- 02-05754 Hearing .Site: Richmond, Virginia KF.PRF.SF.NTATTON OF PARTIES Claimant Eunice J. Consalus Trust, hereinafter referred to as "Claimant", was represented by Jan G. Ankrum, Trustee, West Point, Virginia. Respondent Merrill Lynch Pierce Fe

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION No. 00-04045 TIMOTHY and DONNA LARSON, and the marital community composed thereof; MARY LOU LaPffiRRE; DIANE M. PATELLI, and DONALD F. GRONOWICK, Claimants, v. DAIN RAUSCHER INCORPORATED; and WAYNE JOSEPHSON, Respondents. STIPULATED AWARD REPRESENTATION For Claimants: John Bender, HOLLAND & KNIGHT, LLP, 520 Pike Street, Ste. 2600, Seattle, WA 98101 For Respondents: Curt R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the f.laimant P.ase Number- 02-05750 Debra L. Tonti, Estate of Alfanso Tatano Name nf the Respondents Hearing Site: Pittsburgh, PA Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc., First Union Securities, Inc. c/o Wachovia Securities, Inc., and Gerald M. Goodman RFPRFSFNTATTON OF PARTTFS Claimant, Debra L. Tonti, Estate of Alfanso Tatano ("Tonti") her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nam* nf the Claimant Case Number- 02-05748 Richard Sumney, IRA of the Respondents Hearing Site.- Pittsburgh, PA Gerald Goodman Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc. RFPRF.SFNTATTON OF PAKTTF.S Claimant, Richard Sumney, ERA, hereinafter referred to as "Claimant", was represented by Stanley W. Greenfield, Esq., Greenfield & Kay, Pittsburgh, Pennsylvania.