Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimant Pase Number: 02-0481 8 Arlene I. Bobb Name nf the Kespnn dents Hftflrmg Site: Philadelphia, PA Fahnestock & Co., Inc. Estate of Jeffrey S. Vizak Nature of the Dispute: Customer v. Member and Associated Person. RFPRFSF.NTATTON OF PARTTFS Claimant, Arlene I. Bobb, hereinafter referred to as "Claimant", was represented by Nicholas J. Guiliano, Esq., Attorney

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Fireman (Claimant) v. Morgan Stanley Dean Witter, Inc. and Jay Korff (Respondents) Case Number: 02-04815 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Robert Fireman ("Fireman") hereinafter referred to as "Claimant": Kevin T. Peters, Esq., Todd & Weld, LLP, Boston, MA. Res

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Harriette R. Brooks POA Harriette B. Mazzanti Case No. 00-03926 Names of Respondents FFP Securities, Inc. William Chesley Sowell, IV William Ed Rownd, Jr. Hearing Site: Little Rock, Arkansas REPRESENTATION OF PARTIES For Harriette R. Brooks POA Harriette B. Mazzanti hereinafter referred to as "Claimant": Donald S. Ryan, Esq., Dodds, Kidd, Ry

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William E. Harris and Antoinette Harris, Claimants v. FSC Securities Corporation, Frank A, Cuenca and Timothy C. Sullivan, Respondents Case Number: 02-04811 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimants: For Respondents: John A. Bender, Jr., Esq. George Bonini, Esq. Holland & Knight LLP Seattle, Washington Edward Zusman, Esq. M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Mark Ditchkus, Bay Auto LLC SEP f/b/o Mark Ditchkus and Mark Ditchkus, IRA Name of the Respondent Morgan Stanley DW, Inc. Case Number: 02-04809 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mark Ditchkus, Bay Auto LLC SEP f/b/o Mark Ditchkus and Mark Ditchkus, IRA, hereinafter refe

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Case Number: 02-04808 Tanya Reimschissel, Individually and as Trustee for Tanya Reimschissel Living Trust Names of the Respondents ' Hearing Site: Atlanta, Georgia A.G. Edwards & Sons, Inc. James Laughlin, Sr. James Park Laughlin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Tanya R

Stipulated Award NASD Dispute Resolution In the Matter ot me Arbitration between: Name of the Claimant Case Number: 02-04807 Lisa M. Woods Names of the Respondents Hearing Site: Boca Raton, Florida Southtrust Securities, Inc. Scott A. Lanza REPRESENTATION OF PARTIES For Lisa M. Woods ("Woods"), hereinafter referred to as "Claimant": Richard A. Stephens, Esq., Boca Raton, Florida. For Southtrust Securities, Inc. ("SSI") and Scott A. Lanza ("L

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04806 Solomon Vogel, claimant vs. Charles Schwab & Co., Inc., respondent ATTORNEYS: Claimant appeared pro se, Brooklyn, NY. Respondent appeared through its in-house counsel, Brandon K. Hemley, Esq., San Francisco, CA. DATE FILED: August 15, 2002 CASE SUMMARY: Claimant alleged that respondent misrepresented information regarding shares held in his account and his ability to make trades. C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-04805 Russell B. Adler Names of the Respondents Hearing Site: Boca Raton, Florida Werbel-Roth Securities, Inc. and Michael Zaccaro REPRESENTATION OF PARTIES For Russell B. Adler, hereinafter referred to as "Claimant": Jeffrey A. Winikoff, Esq., Stein, Rosenberg & Winikoff, P.A. until his withdrawal of counsel on or about February 3, 2003.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Genevieve Mercer and 02-04804 Phoenix, Arizona Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION OF PARTIES Genevieve Mercer ("Claimant") appeared pro se. Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") was represented by Eric J. Glassman, Esq., Mennemeier Glassman & Stroud, LLP, Sacramento, California. CASE