Award NASD Dispute Resolution In the Matter or the Arbitration between: Name of the Claimant Case Number: 02-04085 May Halpern Rev Trust DTD 4/12/89, May Halpern and Ada Cohen, Co-trustees Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. REPRESENTATION OF PARTIES For May Halpern Rev Trust DTD 4/12/89, May Halpern and Ada Cohen, Co-trustees ("MHRT"), hereinafter referred to as "Claimant'': Darren C. Blum, Esq., Law

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-04084 Wachovia Securities, Inc. Name of the Respondent Hearing Site: Tampa, Florida Paul A. Goldsmith Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, Inc., hereinafter referred to as "Claimant": Thomas B. Lewis, Esq., Stark & Stark, P.C., Lawrenceville, New Jersey. Paul A. Goldsm

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04074 Margaret A. Ford, claimant vs. UBS PaineWebber, Inc. respondent. ATTORNEYS: For Claimant appeared William E. Strevig, Houston, TX. For Respondent appeared in-house counsel, Gerald F. Spada, Esq., Weehawken, NJ. DATE FILED: My 15, 2002 CASE SUMMARY: Claimant alleged that respondent purchased unsuitable investments contrary to her investment objectives. Claimant maintained that due t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the, rfannflntft fa< g Number 02-004072 Casey J. Bergman individually Casey J. Bergman SEP-IRA Account Lynn C. Bergman r>f the RraprmHpnt Rearing .^fte- Washington, DC UBS PaineWebber, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION" OF PARTTFS Claimants, Casey J. Bergman, Casey J. Bergman SEP-IRA Account and Lynn C, Bergman, hereinafter collectively

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Darlene Masucci Matarazzo (Claimant) v. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., UBS Financial Services Inc., f/k/a UBS PaineWebber Inc., CIBC Oppenheimer, Ronald Marciano, and Jay Canell (Respondents) Case Number: 02-04069 Hearing Site: New York Nature of the Dispute: Customer v. Members and Associated Persons. REPRESENTATION OF PARTIES Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant David D. McKnight Name nf the Respondents UBS Financial Services Inc., and Rebecca E. Vandagriff Case Number! 02-04068 Hearing Site- Charlotte, North Carolina RF.PRRSF.NTATTON OV PARTTRS Claimant David D. McKnight, hereinafter collectively referred to as "Claimant", was represented by William B. L. Little, Esq., Little & Little, PLLC, Raleigh, No

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Kagan and Iris Kagan (Claimants) v. Sands Brothers & Co., Ltd., Martin Scott Sands, Steven Brett Sands, and Jay Bluestine (Respondents) Case Number: 02-04067 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Michael Kagan and Iris Kagan ("Kagans") hereinafter collectively referred to as

Award NASD Dispute Resolution In the Matter ot the Arbitration Between: Names of the Claimants Case Number: 02-04066 CGT Family Corporation by Gary Davis Gary and Sandy Davis, Joint Account Sandy Davis Gary Davis Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith Incorporated Barry Paul Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For CGT Fam

NASD DISPUTE RESOLUTION AWARD DIMnCD PODV NASD DISPUTE RESOLUTION. INC. DlIMUtn UUrY CASE: 00-02812 CIBC World Markets Corp., Claimant vs. David Moon, Respondent ATTORNEYS: For Claimant William C. Saacke, Esq. Kessal, Young, & Logan Long Beach, California For Respondent Terry John Care, Esq. Hunterton and Associates Las Vegas, Nevada DATE BLED: June 30, 2000 CASE SUMMARY: Claimant alleged breach of contract when Respondent failed

Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Name of Claimant Case Number: 02-04060 Advest, Inc. Name of Respondent Hearing Site: Orlando, FL Humberto Garcia Piedra REPRESENTATION OF PARTIES For Advest, Inc. ("Advest"), hereinafter referred to as "Claimant": Craig Stein, Esq., Stein, Rosenberg & Winikoff, P.A., Ft. Lauderdale, FL. Humberto Garcia Piedra ("Piedra"), hereinafter referred to as "Respondent", appeared pro