Revised Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf tfv n«'rmant Paw Niimhpr- 02-05404 Wflliam R.Whttehurst "Many* nffhf* T^fgpOTutent Hearing Sfrfl' Baltimore, MD Legg Mason Wood Walker, Inc. PAPT¥ Claimant/Counterclaim-Respondent, William R. Whitehurst (Claimant), was represented by John H._West ffl, Esq. and James H. West, Esq., West & Moore, LLC, Baltimore, MD. Respondent Counterclaim-Claimant,, Legg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Manuel Zamora (Claimant) vs. Fleet Enterprises, Inc., Quick & Reilly, Inc., National Financial Services Corp., and Alfonso R. Pena (Respondents) Case Number: 02-05403 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Manuel Zamora, hereinafter referred to as "Claimant": Robert Zullo, Jr., Esq., New Brunswick, NJ. Respondents, Fleet Enterprises, Inc. ("Fleet"),

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nrnne frf Trr na imMt/rinilTitpi - r Mesirow Financial, Inc. " * Richard L. Mundrane /Counterclaimant c: 02-5401 Hearing Si tf " Chicago, Illinois Claimant/Counter Respondent Mesirow Financial, Inc. hereinafter referred to as "Mesirow": Ronald P. Kane, Esq., of Kane & Fisher, Ltd., located in Chicago, Illinois. Respondent/Counterclaimant Richard L

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:QG-Q40Q4 Millennium Securities Corp., claimant vs. Jonathan Adwar and Adam Forman, respondents. ATTORNEYS: For claimant appeared Rick Cardillo, Esq., in-house counsel, New York, NY Respondent Jonathan Adwar appeared Pro Se, Woodmere, NY, Respondent Adam Forman appeared Pro Se, Amity Harbor, NY. DATE FILED: September 13, 2000. CASE SUMMARY: Claimant alleged that each respondent owes $6,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: « Name of the Claimant Case Number: 02-05396 ( David T. Barker ' ' . Names of the Respondents Hearing Site: Atlanta,'Georgia Morgan Keegan Jim Hamilton Regions Investment Company Joseph J. Palladino • REPRESENTATION OF PARTIES For David T. Barker, hereinafter referred to as "Claimant": Nick A. Dodys, Esq., Crowley, Appel, Starkey & Holbrook, LLC, Atlanta, Georgia

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bert Vladimir (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, David Savetz, and Henry Blodget (Respondents) Case Number: 02-05395 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Bert Vladimir ("Vladimir") hereinafter referred to as "Claimant" appeared pro se. Respon

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05394 David Shu, claimant vs. Bruno Cerqueira Fernandes, respondent. ATTORNEYS: Claimant appeared pro se, West Hills, CA. Respondent appeared pro se, Arlington, VA. DATE FILED: September 11, 2002 CASE SUMMARY: Claimant alleged that respondent made two, false, inflammatory, and vindictive statements on his form U-5. ARBITRATOR'S REPORT: See attached Exhibit A. Claim Data Award Dat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jim Stepanian, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Inc., Respondent Case Number: 02-05392 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Lee G. Werner, Esq. Carroll & Werner LLP Orange, California For Respondent: Susan L. Hoffinan, Esq. Bingham McCutchen LLP Los Angeles, California

Award NASD Dispute Resolution In the Matter of Arbitration Between: E*TRADE Securities, Inc., (Claimant) vs. Gary Dorsi, (Respondent) Case Number: 02-05391 Hearing Site: New York, New York REPRESENTATION OF THE PARTIES Claimant, E*TRADE Securities, Inc., hereinafter referred to as "Claimant": John Bersin, Esq. Assistant General Counsel, E*TRADE Securities, Inc., Rancho Cordova, CA. Respondent, Cary Dorsi, hereinafter referred to as "Respondent", did not

Award NASD Dispute Resolution In the Matter of the Arbitration Between: International Yacht Restoration School (Claimant) v. Denise Roberts and Salomon Smith Barney (Respondents) v. Elizabeth Meyer (Third-Party Respondent) Case Number: 02-05390 Hearing Site: Boston, Massachusetts Nature of the Dispute: Initial Claim: Customer vs. Member and Associated Person Third-Party Claim: Member and Associated Person v. Customer REPRESENTATION OF PARTIES Cl