NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05306 Robert G. DeDomenic, claimant vs. James Rogers and Dennis Moorman, respondents. ATTORNEYS: Claimant appeared pro se, Columbus, IN, For Respondents appeared Michael A. Gross, Esq., of the firm Ulmer & Berne LLP, Cleveland, OH. DATE FILED: September 9, 2002 CASE SUMMARY: Claimant alleged that respondents wrongfully penalized him for trades made during a blackout period. Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Stack (Claimant) v. Salomon Smith Barney Inc., Stephen O'Donnell, Jason Siegel, Merrill Lynch, Inc., Marianne Naughton, Raymond James Financial Services, Inc. and William Schloemer, Jr. Case Number: 02-05305 Hearing Site: New York, New York Nature of the Dispute: Customer v. Members and Associated Persons REPRESENTATION OF PARTIES Claimant James Stack ("Stack") hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Florence R. Carunchio (Claimant) v. American Express Financial Advisors, Inc. (Respondent) Case Number: 02-05302 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Florence R. Carunchio ("Carunchio") hereinafter referred to as "Claimant": Matthew V. Bartle, Esq., Berkowitz, Feldmiller, Stanton, Brandt, William

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW, Inc. (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and David Fagenson (Respondents) Case Number: 02-05298 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Morgan Stanley DW, Inc. ("MSDW") hereinafter referred to as "Claimant": Darren A. Luma, Esq. and Donald N. Cohn,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pauline Maitoglou (Claimant) v. Continental-Broker Dealer Corp., Anthony Joseph Calascione, Thomas Tiernan, Mark Goetz, Dominick Bianco, Christopher Voccola, Regan Tegge, and Wexford Clearing Services Corp. (Respondents) Case Number: 02-05290 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimant Pa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05287 Sadie Foster Names of the Respondents Hearing Site: Boca Raton, Florida Wise Planning Corporation Francis Casey Nature of the Dispute: Customer vs. Member Firm and Associated Person. REPRESENTATION OF PARTIES For Sadie Foster ("Foster"), hereinafter referred to as "Claimant": Lonnie K. Martens, Esq., The Martens Law Firm, Teques

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: J.P. Morgan Securities, Inc., (Claimant) vs. Faron R. Webb, (Respondent) Case Number: 00-03995 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, J.P. Morgan Securities, Inc., hereinafter referred to as "Claimant": Michael E. Norton, Esq., Robinson Murphy & McDonald, New York, NY. Respondent, Faron R. Webb, hereinafter referred to as "Respondent": Joel E. Dav

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05285 Rau L. King and the Estate of Rex T. King Name of the Respondent Hearing Site: Tampa, Florida IFG Network Securities, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Rau L. King and the Estate of Rex T. King, referred to as "Claimant": Joel A. Goodman, Esq., Jennifer Newsom, Esq. and Stephen Krosschell,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: T 02-05279 First Union Securities, Inc. Salomon Snah Barney, Inc. MjrfaelD, Porter Mx&elE. Toner Cknmanl Wochova Securities, Ino, formerly known as Fust UmoaSecontiea, lac. ("Waobovia"} was represented by Hiomas B. Lows, Eaq, Stark & Start I^wicncevilk, New Jersey. Mkbflfll £. Toner (rTonef 7 )* hereinafter ooUectm^r referred to as "Kwpondflrta", tad Stfltene

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Hofinann Family Trust, Claimant v. First Global Securities, Inc. and Noble B. Trenham, Respondents Case Number: 02-05276 Hearing Site: San Diego, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Gregory S. Larson, Esq. San Diego Law Firm Lemon Grove, California For Respondents: Lee D. Lubin, Esq.