Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Klotz, (Claimant) vs. Electronic Trading Group, LLC, (Respondent) and Electronic Trading Group, LLC, (Claimant) vs. Richard Klotz, (Respondent) Case Number: 00-01008(consolidated w/00-01492) Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Richard Klotz ("Klotz"), hereinafter refened to as "Claimant", appeared pro se. Respondent, Electronic Trading Grou

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Fern R. Zahlen, Claimant v. Finance 500, Inc., Southwest Securities, Inc., Camden Financial Services, Inc., Donald & Co. Securities, Inc., Schroder Wertheim, & Co., Inc., Morgan Stanley Dean Witter, Inc., Waldron & Co., Inc., Wedbush Morgan Securities, Inc., The Agean Group, Inc., John Harlan Sutton, Jonathan David Wolf, Gene Stice, and Dorothy Christine Litos, Respondents Case

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-03759 UBS PaineWebber, Inc., claimant vs. Christopher Ralph and Kathleen Ralph, respondents. ATTORNEYS: For Claimant appeared Romaine L. Gardner, Esq., Staten Island, NY. Respondents did not respond to the Statement of Claim. DATE FILED: June 27, 2002 CASE SUMMARY: Claimant alleged that respondents were unjustly enriched and failed to repay an overpayment received in error. Claim Dat

09/06/01 THU 11:14 FAX MSD REGULATION 121002 Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities Inc. (Claimant) v. Jon Letang and Pierre Kontani (Respondents). Case Number: 00-00577/ 00-00582 Hearing Site: Houston, Texas. REPRESf.NTAUQM QF PAljiJIES Claimant First Union Securities, Inc. ("First Union") was reprasenied by Diane C. Fischer, Esq., of the firm Kane & Fischer. Ltd. located in Chicago, I

• Award NASD Regniationt Inc. In the Matter of ibs Artntmtibn Betwran: Robert Walsh, UdeU P. Waldi and Robert Walsh, JTWRS (Claimants) v, Josephthal Lyon & Ross, Inc. (Respond^t). Case Number 98-01544 (Consolidated with Case Number 98-01947) Hearing Location: Houston, Texas l^PftESgNTATION OF PARTIES Claimants, Robert Walsh, UdeU P. Walsh and Robert Walsh JTWRS ("Walsh"), hettinafter coUectiveiy TCfened to as '*Claimants": Stephen G. Hunt, Esq., Bclla

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Andrew C. Meyer, Jr. and Kathleen A. Meyer (Claimants) v. Legg Mason Wood Walker, Incorporated and Daniel Snyder (Respondents) Case Number: 02-03757 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants Andrew C. Meyer, Jr. and Kathleen A. Meyer, hereinafter referred to as "Claimants," were represented by Richard Gelb, Esq. and Daniel Hohler, Esq. of Gel

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Michael T. Burke and Susan Bowling CONSOLIDATED AWARD 95-00048 Susan Bowling cust. for Cheresse Burke 95-00049 95-00050 Susan Bowling cust. for Elizabeth R. Burke Name of ResDondentfs) Prudential Securities Inc. James Cronin ^ CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Ja

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-03753 Sterne Agee Capital Markets, Inc. (formerly known as SAL Financial Services, Inc.) Name of the Respondent Hearing Site: Atlanta, Georgia Empire Capital Group, L.L.C. REPRESENTATION OF PARTIES For Sterne Agee Capital Markets, Inc. (formerly known as SAL Financial Services, Inc.), hereinafter referred to as "Claimant": Peter J. Te

DEC. 7.1998 2:25PM WISD REGULftTION FL h».574 P. 13 NASD REGULATION, INC. AWARD NASD R^Dlation, Inc., Oflice of Dilute Resolnflon bi tiie M: liter of tiie Arbhration Between ^ rfPBs of Cj.ajn»nts \fidiad i. ft Pamda M. Anderson 95-02248 Joseph Robots ft Co., IDC. Jean Pierie-Serena Jacques tl^iy) Serena JodNazi'.fflo Jos^rrS'anto Robert EI [.larco CONSOLIDATED WITH: MIdiad II. Anderson 97-05145 Brian Schcntz Brian Btj^

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Nancy J. Penniman-Logdson and John Logdson and Names of Respondents Phillip & Co. Securities, Inc. Steven C. Clark, Timothy C. Phillips Sean O. Perkins and Philip B. Hagen Case Number: 02-03751 Hearing Site: Omaha, Nebraska REPRESENTATION OF PARTIES Nancy J. Penniman-Logdson a/k/a Nancy J. Penniman and John Logdson ("Claimants") were rep