Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael J. Erber, (Claimant) vs. Spear, Leeds & Kellogg, LP, Catalyst Trading, LLC, Ronald Comerchero, Daniel Uslander, and Andrew E. Reegen, (Respondents) Case Number: 02-04216 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Michael J. Erber, hereinafter referred to as "Claimant": Gabriel Kaszovitz, Esq., Feder Kaszovitz Isaacson Weber Skala Bass & Rhine, LLP,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 02-04213 FAYE D. BROWN Names of the Respondents: Hearing Site: Atlanta, Georgia DONALD J. JOHNSON, RETIREMENT SPECIALISTS OF THE SOUTH, INC., and SUNAMERICA SECURITIES, INC. REPRESENTATION OF PARTIES For Faye D. Brown, hereinafter referred to as "Claimant": John Martin Eades, Jr., Esquire, Alabaster, Alabama. For Donald J

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Tamara St. Clair Case Number: 02-4211 and Name of Respondents Polly S.Jones and A.G. Edwards, Inc. Hearing Site: St. Louis, MO REPRESENTATION OF PARTIES Tamara St. Clair ("Claimant") was represented by Clifford B. Faddis, Jr., Esq. of the Law Offices of Clifford B. Faddis, Jr. located in St. Louis, Missouri. A.G. Edwards & Sons, Inc. ("Respondent Edwards"

NASD DISPUTE RESOLUTION MODIFIED AWARD NASD DISPUTE RESOLUTION CASE: 02-04204 The Investment Center, Inc., claimant vs. Glen J. Merendino, respondent. ATTORNEYS: For Claimant appeared Doug Wright, CCO, in-house counsel, Bridgewater, NJ. Respondent did not respond to the Statement of Claim. DATE FILED: July 18, 2002 CASE SUMMARY: Claimant alleged that respondent has failed to repay monies owed for a secured debit balance. ARBITRATOR'S REPORT: Amp

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Paul A. Ippolito and 02-04195 Phoenix, Arizona Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. Warren Douglas Kiggins REPRESENTATION OF PARTIES Paul A. Ippolito ("Claimant") was represented by John R. Tellier, Esq., Titus, Brueckner & Berry, P.C., Scottsdale, Arizona and John R. Coll, Esq., Law Office of John R. Coll

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Central Transportation Services, Inc. Case No. 00-02834 Preston Langley Asset Management, Inc. Hearing Site: Oklahoma City, Oklahoma Claimant Central Transportation Services, Inc. ("Central") was represented by Alexander B. Mitchell, n, Esq., of the law firm of Klenda, Mitchell, Austerman & Zuercher, L.L.C. located in Wichita, Kansas. Respondent Preston Langley Asset Ma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-04188 Paula Schatten and Aron Schatten Names of the Respondents Hearing Site: Boca Raton, Florida Gary Saginor and Investments By Planners, Inc. Nature of the Dispute: Customer vs. Associated Person and Member Firm. REPRESENTATION OF PARTIES For Paula Schatten and Aron Schatten, hereinafter referred to as "Claimants": Daniel S. Newman, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Van Cushny (Claimant) v. Bear Stearns & Co., Inc. (Respondent) Case Number: 02-04179 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Van Cushny ("Cushny") hereinafter referred to as "Claimant": David E. Robbins, Esq., Kaufmann, Feiner, Yamin, Gilden & Robbins, LLP, New York, NY. Previously appeared pro se

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-4174 Henry Draznin, claimant vs. IMFG Securities, Inc., and Richard F. Eggers, Jr., respondents. ATTORNEYS: For Claimant appeared Barbara Black, John Jay Legal Services, Inc., White Plains, NY. For Respondents appeared Sherif K. Moussa, Esq., of the firm Butler, Fitzgerald & Potter, P.C., New York, NY. DATE FILED: July 17, 2002 CASE SUMMARY: Claimant alleged that respondents misrepresent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04171 David Weild, claimant vs. Prudential Securities, Inc., respondent. ATTORNEYS: For Claimant appeared Laurence S. Moy, Esq., of the firm Liddle & Robbinson, L.L.P., New York, NY. For Respondent appeared in-house counsel, Christopher Nelson, Esq., New York, NY. DATE FILED: July 17, 2002 CASE SUMMARY: Claimant and respondent agree to an order to expunge and correct claimant's Form