Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05666 Raymond James & Associates, Inc. Name of the Respondent , Hearing Site: Tampa, Florida John DeChellis REPRESENTATION OF PARTIES For Raymond James & Associates, Inc. ("RJ&A"), hereinafter referred to as "Claimant": John M. Norton, II, Esq. and Rick A. Buchwalter, Esq., Raymond James & Associates, Inc., St. Petersburg, Florida. John D

CASE: 02-05662 Echo Lakes Hedge Fund, L.P. & Joseph V. Bocchino, M.D., Claimants v. Spear, Leeds & Kellogg, Carlin Equities Corp. and Mario J. Coniglione, Respondents ATTORNEYS: For Claimants, Echo Lakes Hedge Fund, L.P. & Joseph V. Bocchino, M.D., ("Claimants"), appeared John B. Livelli, Esq., of the firm Robinson & Livelli, Newark, NJ. For Respondent, Spear, Leeds & Kellogg, appeared Ida Wurczinger Draim, Esq., of the firm Dickstein, Shapiro, Morin & Oshi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thp Claimant Pagp "Nhimhpr- 02-05659 Raymond, James & Associates, Inc. Nfltw n ftriF Ffsr^THlfnt "pffrflffog ^itf' Dallas, Texas William C. Gunstead RFPPFSITNTATTON Claimant Raymond, James & Associates, Inc., hereinafter referred to as "Claimant": Rick A. Buchwalter, Esq. of Raymond, James & Associates, Inc., located in St. Petersburg, Florida. i Respondent Wi

NASD Dispute Resolution Arbitration No. 02-05653 Award Page 1 of 5 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mike Bornstein, (Claimant) vs. Ehrenkrantz King Nussbaum, Inc., John Scott Matthews, Brian Joseph Hagerman, and Joan Mary King, (Respondents) Case Number: 02-05653 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Mike Bornstein, hereinafter referred to as "Claimant": appeared pro se. R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Island ECN, Inc. (Claimant) v. B-Trade Services, LLC (Respondent) Case Number: 02-05647 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member REPRESENTATION OF PARTIES Claimant The Island ECN, Inc. hereinafter referred to as "Claimant": Max Gitter, Esq., Cleary, Gottlieb, Steen & Hamilton, New York, NY. Previously represented by: Vaishali Javeri,. Associa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Thomas P. Muchisky and Michi 1. Muchisky Name of the Respondent Citiarouo Global Markets, Inc. ) ) ) ) ) ) ) ) Case Number: 02-05646 Hearing Site: St. Louis, Missouri MATIIPF HE Customers vs. Member Firm PARTIES Gerald P. Greiman, Esq. of the law firm Spencer, Fane, Britt & Browne, LLP, located in St. Loui

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the PI aim ants flase Nnmhfir- 02-05639 Zelmar and Barbara Harrison Name of the Respondents Hearing Site- Philadelphia, PA Morgan Stanley DW Inc. Scott Seig Brown and Company Securities Corporation REPRESENTATION OF PARTIES Claimants, Zelmar and Barbara Harrison, hereinafter collectively referred to as "Claimants", represented themselves at the hearing. Respo

Award NASD Dispute Resolution Wf In the Matter of the Arbitration Between: Jack Nelson, as trustee of the Jack Nelson IRA, Cathy Nelson, as trustee of the Cathy Nelson IRA, Cathy Nelson as trustee of the Jack Nelson 99 Charitable Remainder Trust, Jack Nelson and Cathy Nelson, as trustees of the Nelson Family Trust, Claimants v. Self Trading Securities, Inc., John B. Pearson, Eric P. Weschke, and John L. McArdle, Respondents Case Number: 02-05635 Hearing

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between < • Claimant i . i i- • • Intercultural Student Experiences ' ' v. 02-05633 Minneapolis, Minnesota Respondents ; ' Wells Fargo Investments, LLC and Gregory A. Stauffer ' ' r i ', > Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES r. '! • ! Intercultural Student Experiences ("Claimant") was represented by Thomas H. G

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jules H. Bohn and Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Kevin B. Murphy Case Number: 02-05631 Hearing Site: Houston, Texas NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Jules H. Bohn ("Claimant") was represented by Clarence F. Kendall II, Esq., Clarence F. Kendal