Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name.s nf thf*. Claimants Case Number: 02-03694 Lillian and William Falk William Falk IRA Names nf thp Respondents Hearing Sitfv Baltimore, Maryland H&R Block Financial Advisors, Inc. Frank Corto and David Forman Nature of Dispute: Customers v. Member and Associated Persons RFPRF.SF.NTATTON OF PARTTFS Claimants, Lillian Falk and William Falk and William Falk I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Union Securities, Inc., (Claimant) vs. Rene Perozeni, (Respondent) Case Number: 02-03684 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant, First Union Securities, Inc., hereinafter referred to as "Claimant": Renan I. Sugarman, Esq., Attorney at Law, Chicago, EL Respondent, Rene Perozeni, hereinafter referred to as "Respondent", did not appear at the hearing

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kim M. Becker, Glenn A. Becker, and Kim Becker custodian for Sheilah O'Loughlin (Claimants) v. Adam R. Lazarus and Morgan Stanley DW, Inc. (Respondents) Case Number: 02-03682 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Kim M. Becker ("Kim Becker"), Glenn A, Becker ("Glenn Becker"), and Kim Becker Custodian for Sheilah O'Loughlin ("Kim Becker Custodian") her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerry Lewkowitz Case Number: 02-03679 (Claimant) Morgan Stanley Dean Witter, Inc. Hearing Site: New York, New York Ethan Simeon Fingerer (Respondents) REPRESENTATION OF PARTIES Claimant, Jerry Lewkowitz ("Lewkowitz"), hereinafter referred to as "Claimant": William A. Jacobson, Esq., Law Offices of William A. Jacobson, Inc., Providence, RL Respondents, Morgan Stanley Dean

Award NASD Dispute Resolution In the Matter of the Arbitration Between: JAH Realties, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., (Respondent) Case Number: 02-03676 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, JAH Realties, hereinafter referred to as "Claimant": Robert J. Schechter, Esq., Schechter & Nimkoff, LLP, New York, NY. Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., hereinafter referred to as

Award NASD Dispute Resolution In me Matter oTtne Arbitration between: Name of the Claimant Case Number: 02-03674 Silverman, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Silverman, Inc. ("Silverman"), hereinafter referred to as "Claimant": David J. Feingold, Esq., Feingold & Kam, Palm Beach Gardens, Florida. Fo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Prudential Securities Incorporated Name of the Respondent James M. Filippucci Case Number: 02-03671 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Prudential Securities Incorporated, hereinafter referred to as "Claimant": Bernard Williams, Jr., Esq. and John D. Boykin, Esq., Bo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-03669 Prudential Securities, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Pamela Maraziti Nature of the Dispute: Member v. Customer. REPRESENTATION OF PARTIES For Prudential Securities, Inc. ("Prudential"), hereinafter referred to as "Claimant": Matthew N. Thibaut, Esq., Boose Casey Ciklin Lubitz Martens McBane & O'Connel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-03668 Prudential Equity Group, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Jonathan A. Goldstein Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Prudential Equity Group, Inc. ("Prudential"), hereinafter referred to as "Claimant": Matthew N. Thibaut, Esq., Boose Casey Ciklin Lubitz Marte

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02786 Marjorie G. Jenkins, claimant vs. A.G. Edwards and Sons, Inc., and Metropolitan Life Insurance Co,, respondents. ATTORNEYS: Claimant appeared Pro Se, through her son, Earle Drabenstott, Painesville, OH. For Respondent, A.G. Edwards and Sons, Inc. ("A.G. Edwards"), appeared Normati Buckvar, Esq., St. Louis, MO. For Respondent, Metropolitan Life Insurance Company ("Met Life"),