Award NASD Dispute Resolution In the Matter of the Arbitration Between: fbi'mant rflaftNiwiher 02-04711 Shelly LeRoux Name nfthf* Respondents Hearing Site- Philadelphia, PA Morgan Stanley DW, Inc. Robert E. Berg Nature of the Dispute: Customer vs. Member and Associated Person BFPKFSFNTATTON OF PARTfFS Claimant, Shelly LeRoux, hereinafter referred to as "Claimant" was represented by Anthony D. Reagoso, Esq., Reagoso & Baer, P.C., Media, Penns

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04704 Roy Douglas Lease and Marlene Anne Lease, claimants vs. Charles Schwab, respondent. ATTORNEYS: Claimants appeared pro se through Roy D. Lease, Jacksonville, FL. For Respondent appeared in-house counsel, Sean B. Meehan, Esq., San Francisco, CA. DATE FILED: August 9, 2002 CASE SUMMARY: Claimants alleged that respondent recommended funds that were unsuitable to their investment object

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04701 Richard Clark, claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Deborah Buzick, respondents. ATTORNEYS: Claimant appeared pro se, Toronto, ON. For Respondents appeared in-house counsel, Richard Kim, Esq., New York, NY. DATE FILED: August 9, 2002 CASE SUMMARY: Claimant alleged that respondents made misrepresentations regarding trades made in his account. Claimant fur

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Louis Barinaga and Stuart Mackenzie, Claimants v. Paulson Investment Company, Inc., Marvin L. Cox, Jr. and UBS Paine Webber k/n/a UBS Financial Services, Respondents Paulson Investment Company, Inc. and Marvin L. Cox, Jr., Counter-Claimants v. Louis Barinaga, Counter-Respondent Case Number: 02-04697 Hearing Site: Portland, Oregon Nature of the Dispute: Customers v. Members and Assoc

AWARb NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants and Name of Respondents John A. Gentilella, Jr. Harvey S. Morrow James W. Reid Kim S. Carroll Stephen H. Roebuck Equitrade Securities Corporation David L. Rutkoske Case Number: 02-04686 Hearing Site: Indianapolis, Indiana REPRESENTATION OF PARTIES Claimants Danny and Susan Lockstadt (hereinafter referred to as "Claimants") were repres

Stipulated Award NASD Disputedesolution in the Matter or the Arbitration between: Name of the Claimant Francis J. Rosso as Personal Representative of the Estate of Edward J. Rosso Case Number: 02-04685 Names of the Respondents Noble International Investments, Inc. Noble Capital Management, Inc. Wayne Home Nicolas Pronk Dennis Rosa, Sr. Name of Third Party Respondent John D'Amato Hearing Site: Boca Raton, Florida Nature of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, nf the riai'mants Case Number 02-04671 Kelly Ann M. Royston Daniel McGinniss as Trustee of the Kelly A. Royston Trust Kelly Ann M Royston IRA Name nf thfi Rpxpnnrfentg Rearing Site- Washington, DC Robert W. Baird & Co. Christopher G. Didier Matt Montalbano Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard L. Ruffner and 02-04666 Phoenix, Arizona Name of Respondents A.G. Edwards & Sons, Inc. John L. Tate Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Richard L. Ruffner ("Claimant") was represented by Robert D. Mitchell, Esq., Mitchell Law Offices, P.C., Phoenix, Arizona. A.G. Edwards & Sons, In

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: William Lindsay (Claimant) v. Fahnestock & Co., Inc., Josephthal & Co., Inc., and Kevin P. Saia (Respondents) Case Number: 02-04653 Hearing Site: New York, New York Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES Claimant William Lindsay ("Lindsay") referred to as "Claimant": Nicholas J. Guiliano, Esq., Philadelphia, PA.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04650 Murry M. Shapero, claimant vs. New York Urban Professionals Basketball League, Inc., New York Urban Professionals Basketball League Profit-Sharing Plan, and John Bykowsky, Individually and as President of New York Urban Professional Basketball League, Inc., and as Trustee of New York Urban Professional Basketball League Profit-Sharing Plan, respondents. ATTORNEYS: For Claimant appeared