Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05581 Raymond James & Associates, Inc. Name of the Respondent ' , Hearing Site: Tampa, Florida Robert Berger REPRESENTATION OF PARTIES For Raymond James & Associates, Inc., hereinafter referred to as "Claimant": Rick A. Buchwalter, Vice President, Assistant Corporate Counsel, Raymond James & Associates, Inc., St. Petersburg, Florida. For

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant David S. O'Block 02-05579 Nashville, Tennessee Name of Respondent Quick & Reilly, Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES David S. O'Block ("Claimant") was represented by Claude O. Ramer, n 9 Esq., IdleAire Technologies Corporation, Knoxville, Tennessee. Quick & Reilly, Inc. ("Respondent") was rep

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael T. Sullivan (Claimant) vs. Thomson Institutional Services, Inc. (Respondent) Case Number: 02-05578 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Michael T. Sullivan ("Sullivan"), hereinafter referred to as "Claimant": Stephen C. Kahr, Esq., New York, NY. Respondent, Thomson Institutional Services, Inc. ("TIS"), hereinafter referred to as "Responden

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tillson Family Trust, Claimant v. T.D. Waterhouse Investor Services, Inc., Respondent Case Number: 00-04028 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialists San Diego, California For Respondent: John L. Erickson, Jr., Esq. Jones, Bell, Abbott, Fleming £ Fitzgerald L.LP. Los Angele

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05577 Lois Dvoskin-Feldman, claimant vs. Hennion & Walsh, Inc., and Alexander Vermitsky, CFP, respondents. ATTORNEYS: Claimant, Lois Dvoskin Feldman, appeared pro se, New Milford, NJ. Respondents appeared pro se through Alexander Vermitsky, CFP, Director of Compliance, Parsippany, NJ. DATE FILED: September 19, 2002 CASE SUMMARY: Claimant alleged that respondents debited her account w

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants: Robert J. Wilson, Elizabeth M. Wilson, Jerome A. Kearns, Heather H. Kearns, Christopher L Imler and Teresa Rene Poole vs. Names of Respondents: Morgan Stanley DW, Inc., Jeffrey C. Leo, Todd E. Lapinson, Jill Bonigan and Gina Caracciola NASD No. 02-05569 Hearing Site: Houston, Texas NATURE OF CASE Customers

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Kovack Securities, Inc. Name of Respondent Howard P. Murray Case Number: 02-05557 Hearing Site: Boca Raton, Florida RKPRKSENTATTON OF PARTIES For Kovack Securities, Inc., hereinafter referred to as "Claimant": Brian J. Kovack, Esq., Kovack Securities, Inc., Fort Lauderdale, Florida, and Curtis Carlson, Esq., Payton & Carlson, P.A., Miami, Florida.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05553 Dean Galvin, claimant vs. Empire Financial Group, Inc., respondent. ATTORNEYS: Claimant appeared pro se, Orlando, FL. Respondent appeared through its Compliance Manager, Randy Cupples, Longwood, FL. DATE FILED: September 19, 2002 CASE SUMMARY: Claimant alleged that respondent failed to correct erroneous transactions executed in his account. Claimant contended that respondent liquid

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05551 Mark Alexander, claimant vs. Jac Tomasello, Greg Randall and U.S. Discount Brokerage, Inc., respondents. ATTORNEYS: Claimant appeared pro se, Mayfield Hts., OH. Respondents appeared pro se through Jac Tomasello, President, Rocky River, OH. DATE FILED: September 19, 2002 CASE SUMMARY: Claimant/counterclaim respondent alleged that respondents/counterclaim claimants breached the E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: S. Jay Kazan, Claimant v. Lebenthal & Company n.k.a. Advest, Inc. and Scott I. Klein, Respondents Case Number: 02-05548 Hearing Site: Las Vegas, Nevada Nature of Dispute: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES For Claimant: S. Jay Hazan In Pro Per Las Vegas, Nevada For Respondents: Phillip S. Wellman, Esq. Advest, Inc. Hartford, C