Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fahnestock & Co., Inc. (Claimant) v. Adam Reback (Respondent) and Richard P. Bamett and Adam J. Reback (Claimants) v. Fahnestock & Co., Inc. (Respondent) and Fahnestock & Co., Inc. (Claimant) v. Richard P. Bamett (Respondent) Case Numbers: 02-05807 (consolidated w/02-06041 and 02-06249) Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person (02

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sam and Dr. Prema Prasad and Bloomfield Health Services, Inc. (Claimants) v. MML Investors Services, Inc. (Respondent) and Dr. T.S. Sudarshan, Dr. Chitra Sudarshan and Materials Modification, Inc. (Claimants) v. MML Investors Services, Inc. (Respondent) Case Number: 02-00712 (consolidated w/02-02086) Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member

Award NASD Dispute Resolntion, Inc. In the Matter of the Arbitration Between Angelo Karakasis FFP Qrcnsp, Inc. Nicholas G. Zoubroulis Theodore Zoubroulis Case Nos. 01-00645 01-00646 01-00647 01-00648 DiMedio Kirchhoff & Company, Inc. Thomas H. King, Sr. Hearing Site: Philadelphia, PA piTPPirginNrrATTniv PAPTnrg Claimants, Angelo Karakasis ("Karakasis"), FFP Group, hic. ("FFP"), Nicholas G. Zoubroulis, and Theodore Zoubrouli

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nainft nf thff riflimants Elliott J.AIpher,DDS Rosa Lee Alpher ragf^Mnmhffl" 02-01664 (Master Case) Prudential Securities, Inc. David Herman Marx Hparing !^itft- Washington, DC In the Matter of the Arbitration Between: Elliott J. Alpher, DDS.P.C.P/S Retirement Fund Joan Meyer CasfiJiLumhec 02-01665 (Subordinate Case) Name nf fhft T? ftgpnndents Prud

Award NASD Dispute Resolution In the Matter of the Consolidated Cases Among: Orlandes R. Shuemake, Claimant v. Morgan Stanley DW Lie, David J. Dunn and Michael J. Roane, Jr., Respondents (01-03933) Mario D. Guillermo, individually and as Trustee of the Guillermo Family Trust, Claimant v. Morgan Stanley DW Lie, David J. Dunn and Michael J. Roane, Jr., Respondents (01-04090) Reginald A. Rashid and Belinda Rashid, Claimants v. Morgan Stanley DW Inc., David J. Du

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: George Scritchfield, (Claimant) vs. Cruttenden Roth, Inc., David Walters, and Stan Gang, (Respondents). Case Number: 98-00540 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES George Scritchfield, hereinafter referred to as "Claimant": Richard L. Jaeger, Esq., Feldman, Waldman & Kline, San Francisco, California. Cruttenden Roth, Inc., David Walters, and Stan Gang h

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Case Number: 98-00090 Northeast Securities, Inc., (Claimant) vs. Quest Capital Strategies, Inc. David Chen Yu, Richard Skinner, Joyce Lubbers, and Carolyne Yu, (Respondents) consolidated with: Case Number: 01-02217 Carolyne Yu, (Claimant) vs. Northeast Securities, Inc., (Respondent) consolidated with: Case Number: 01-02275 David Chen Yu, (Claimant) vs. Northeast Securities

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard A. Diglio, (Claimant) vs. Investor's Advocate, LLC, Jason Watkins, and Steven Maczka, (Respondents) and Investor's Advocate, LLC, (Claimant) vs. Richard A. Diglio, (Respondent) Case Number: 00-05277(Consolidated w/00-05375) Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Richard A. Diglio ("Diglio"), appeared pro se. Previously represented by: Ri

NASD Arbitration No. 93-03516 N.A.S.D. AWARD NATIONAT. ASsnrTATfoK OF < ;KCTmTTiES DKAT RR?; mr. In the matter of the Arbitration Between Name nf rlnig^^n^; Soutli Pacific Traders Name.nf Rr^p^n^fnrff Shearson Lehman Brothers Manuel Tiangha REPRFSFNTATTmsj For Claimant: Nephi Hannemann, Honolulu, Hawaii For Respondents: Jeffrey T. Makoff, Esq., Cohen, Nelson & MakofT, San Francisco, California CASF INPORMATTOM Stateme

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mark Healey, Howard Kapp, Philip Aronoff, and Allison Modder, (Claimants) vs. Merrill Lynch» Pierce, Fenner & Smith, Inc., (Respondent) and Merrill Lynch, Pierce, Fenner & Smith, Inc. (Claimant) vs. Mark Healey, Howard Kapp, Philip Aronoff, Allison Modder, and Salomon Smith Bamey, Inc. (Respondents) Case Number: 01-00553 (Consolidated w/01-00617) Hearing Site: New York, New York