Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claimant - P^gp Num^r: 02-05733 Wachovia Securities, LLC , ring Si'tfv Dallas, Texas Reginald D. Ford Claimant Wachovia Securities, LLC, hereinafter referred to as "Claimant": Douglas D. Calloway, Esq. of Wachovia Securities Inc., located in Richmond, Virginia. Respondent Reginald D. Ford, hereinafter referred to as "Respondent": Did not appear. Statement of Claim filed: Sep

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the flaimant Pasft Number 02-05732 Wachovia Securities, LLC Warne nf the Respondent Hearing Site; Dallas, TX Adnan A. Sardar NATTIRF OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Claimant Wachovia was represented by Douglas D. Callaway, Esq., Wachovia Securities, LLC, Wachovia Securities Inc. Riverfront Plaza-West Tower. 901 Eas

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-05730 Irving F. Levitt, Individually Irving F. Levitt as Co-trustee of the Levitt Charitable Remainder Annuity Trust U/A dated 9/22/95 Irving F. Levitt as Trustee of the Irving F. Levitt Revocable Trust U/A dated 3/1/96, as amended Florence C. Levitt, Individually Florence C. Levitt as Co-trustee of the Levitt Charitable Remainder A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: s Michael J. Maura (Claimant) v. Sharpe Capital, Inc. and U.S. Clearing (Respondents) Case Number: 02-05727 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Michael J. Mauro, hereinafter referred to as "Claimant": Brian H. Reis, Esq., Law Office of Brian Reis, New York, NY. Respondent Sharpe Capital, Inc. ("Sharpe"): Michael Simon, Esq., Sharpe Capital, Inc.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, Inc., Claimant v. Al Feke, Respondent Case Number: 02-05724 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy N. Will, Esq. Albert & Will, LLP Tonance, California For Respondent: Al Feke In Propria Persona Irvine, California CASE INFORMATION Statement o

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claremont Financial Services, Inc. (Claimant) v. Lehman Brothers, Inc., Walter Gerasimowicz, and Doreen Benson (Respondents) Case Number: 02-05719 Hearing Site: Boston, Massachusetts Nature of Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Claremont Financial Services, Inc. ("Claremont") hereinafter referred to as "Claimant": Rob

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bruce Whitman (Claimant) vs. CIBC World Markets Corporation; Rolf W. Brunner and Ivan O. Alfaro (Respondents) Case Number: 02-05718 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Bruce Whitman hereinafter referred to as ("Claimant"): Steven A. Berger, Esq. and Kenneth J. Applebaum, Esq., Berg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS PaineWebber, Inc. (Claimant) v. John Santaniello (Respondent) Case Number: 02-05716 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant UBS PaineWebber, Inc. ("PaineWebber") hereinafter referred to as "Claimant": Laura Martin, Esq. and David Becker, Esq., Davidson, Manchel & Brennan, LLP, Northvale, NJ. Pre

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Patrick!. Forrester, Claimant v. American Express Financial Advisors, Inc., Respondent Case Number: 00-04039 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Thomas Campbell, Esq. Smith Campbell, LLP New York, New York For Respondent: Leigh Ann White, Esq. Cariton, DiSante < & Freudenberger, LLP Irvine, California CASE INFORMATIO

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05712 Thomas C. Maloney, claimant vs. Anthony T. Williams and Salomon Smith Barney, respondents. ATTORNEYS: Claimant appeared pro se, Bloomington, IN. For Respondents appeared in-house counsel, Ann Parry, Esq., New York, NY. DATE FILED: September 25, 2002 CASE SUMMARY: Claimant alleged that respondents advised him to purchase shares of American On Line and Sonic Blue without disclosing t